The Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) published a joint Staff Notice (31-363) on August 3, 2023 summarizing their review of firms’ Conflicts of Interest practices as it relates to the Client Focused Reforms. Of the 172 firms the CSA, IIROC and the MFDA reviewed, no deficiencies relating to conflicts […]
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SIFMA C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices and guidance in the increasingly complex and changing regulatory and compliance arenas. Ritz-Carlton, Charlotte, NC | September 11, 2023 Learn more and register. Meet Randy Barnes, Director of Product and Sales Engineering
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Education. Training. Industry insight. It all comes together at the COMPLYConnect Conference and Expo. Take a front row seat to the latest news and trends shaping compliance, risk and governance, and hear direct from renowned industry leaders and regulatory authorities as they discuss the future of compliance and regulation. Experience unparalleled access to the resources […]
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Hosted by Nitrogen, the makers of Riskalyze, join 1,000+ wealth management professionals this fall at the #1 resort in Florida for three days of learning, connection, and growth. The Fearless Investing Summit is where financial advisors network with the fastest-growing firms in the country, learn how to scale their business, and join a community empowering […]
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Meet InvestorCOM at the 2023 NSCP National Conference, on Oct 16-18 2023 at the Omni Dallas in Dallas, TX. The only conference that’s “For Compliance, By Compliance.” Meet Bill Donnell, VP Sales – Book now Meet Randy Barnes, Director of Product and Sales Engineering Meet Parham Nasseri, VP of Product and Regulatory Strategy – Book […]
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New integration enables firms and financial professionals to meet Reg BI and PTE 2020-02 rollover obligations and grow their businesses AUBURN, CA – JULY 18, 2023 – Nitrogen, the company that is revolutionizing how financial advisors and wealth management firms grow their firms, today announced its integration with InvestorCOM, a leading regulatory compliance software […]
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New solutions enable advisers to make best interest product and rollover recommendations, digitally documenting and disclosing their analysis. Compliance teams easily prepare for the DOL’s retrospective review with dashboard functionality. New York City, NY – July 17, 2023 – Today, two leading compliance software providers to the wealth management industry, COMPLY and InvestorCOM, announced […]
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Recently, InvestorCOM spoke with industry experts from Oyster Consulting LLC and Davenport & Company LLC to discuss the practical side of the DOL’s retrospective review process that zeros in on the approach firms are taking to meet the requirement. == Parham Nasseri [PN]: Ed, what are you seeing in the industry and what is […]
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InvestorCOM spoke with Issa Hanna from Eversheds Sutherland, Jim Sommerfield from Wintrust Wealth Management and Richard L Chen to discuss the SEC’s guidance on reasonably available alternatives (RAA), and how firms should assess RAA early in the process of formulating recommendations for products. This is part two of a conversation. For part one, please visit […]
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