DOL & SEC’s Best Interest Principles: A Gateway to Growth in 2024

Events
On-Demand Webinar >>> With the DOL’s Fiduciary proposal comment period behind us, many are assessing how the proposal, which includes new definition of fiduciary and changes prohibited transaction exemptions for rollovers (PTE 2020-02) and PTE  84-24 will impact their business model.   The proposed changes present not only challenges but also substantial opportunities for forward-thinking firms. [...] Read More

Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda – Account Type Recommendations

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On December 12, InvestorCOM hosted a webinar, with the wealth industry’s most trusted and seasoned experts, titled Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda. Rhonda Davis Tom Selman Armini Sarabi Robert McGill Mentioned below is a summary of insights drawn from the conversation. You may watch the complete webinar here. Parham: SEC’s April 2023 [...] Read More
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New Department of Labor (DOL) Fiduciary Rule: Embracing New Regulatory Requirements

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The US Department of Labor (DOL) released its new fiduciary rule proposal on October 31. InvestorCOM hosted the wealth industry’s trusted experts to share their experience and insights on how the industry can handle new regulatory requirements, including the DOL’s new proposal. Dawn Thomason, Chief Compliance Officer, USA Financial This has been going back and […]

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InvestorCOM Wins Top Employer Award

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For the sixth year in a row, InvestorCOM wins the 2024 Top Employers Award Toronto, ON, November 23, 2022 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, announced today that the company has been named one of Hamilton-Niagara’s Top Employers for 2024. The Hamilton-Niagara Top Employers Awards […]

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Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda

Events
Webinar - December 12, 2023 at 1:00 PM ET The SEC recently published its 2024 exam priorities, highlighting key examination and compliance priorities as it relates to many areas, including Regulation Best Interest and Investment Advisors. Later in the fall, the SEC’s enforcement branch reported 784 actions, with nearly $5 billion in fines, painting a clear [...] Read More
InvestorCOM Introduces Account Recommendation Application to Wealth Compliance Platform

Navigating Compliance and Enhancing Financial Decision-Making with AccountCompare

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Introduction:  In the intricate world of financial services, where regulatory compliance is paramount, InvestorCOM’s AccountCompare emerges as a robust solution. It not only streamlines the process for financial professionals but also ensures meticulous adherence to crucial regulations. In this post, we’ll explore how AccountCompare aligns with and addresses specific regulatory requirements, ultimately empowering financial professionals [...] Read More
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Implementation of Client Focused Reforms and Impact of Limited Product Shelves

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On November 16, The Ontario Securities Commission (OSC) published its proposed Statement of Priorities for 2024-2025 year. One of the key priorities include the OSC’s focus on the implementation of the Client Focused Reforms (CFRs). The excerpt below highlights the details of the proposal, including the actions and planned outcomes by the OSC.

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Big data technology and data science illustration

AI has arrived in wealth management

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I recently asked one of the leading GPT (generative pre-trained transformer) platforms how artificial intelligence (AI) is changing the wealth management industry.

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Canadian RegTech Awards 2017

InvestorCOM Wins Best Wealth Management Regulatory Solution Award

News

InvestorCOM secures its second CRTA win in three years. InvestorCOM, a leading regulatory software provider to the wealth management industry, announced its platform was named the Best Wealth Management Regulatory Solution winner in the 3rd Annual Canadian RegTech Awards (CRTA). The Best Wealth Management Regulatory Solution award recognizes a solution used by wealth management firms […]

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