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Canada’s Client-Focused Reforms: Closing the Gap Between Regulatory Expectations and Execution

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Canada's securities regulators are delivering a clear message to wealth management firms: compliance is not simply about having policies and procedures. It's about demonstrating that investment recommendations are suitable, alternatives have been considered, and products remain appropriate over time. The Ontario Securities Commission's 2026 Registration, Inspections and Examinations Annual Report highlights ongoing attention to Client-Focused [...] Read More

Product Pulse: Product Evolution at InvestorCOM

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When you choose a technology partner, you’re not just choosing what the platform can do today. You’re choosing how quickly it can evolve with you. Last year, InvestorCOM delivered 30+ product innovations. This year, we’re extending our capabilities across transfer automation, prospecting, product lookup and annuities analysis — with AI-powered supervision and agentic workflows ahead. [...] Read More

Retirement Advice Can No Longer Live in Two Worlds

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The wall between workplace retirement plans and wealth management no longer reflects how Americans save, change jobs or make decisions about their financial futures. For decades, the financial services industry treated retirement plans and wealth management as separate businesses. They operated under different licenses, relied on different technologies and maintained different books and records. The [...] Read More

What AI in the Advice Workflow Means for Your Firm 

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On September 14, Anthropic launched Claude for Financial Advisors with live connectors into several platforms your advisors likely already touch. That same day, the SEC published a risk alert on how firms fall short in their annual compliance reviews. Taken together, these two events are the clearest signal yet that AI is moving from something […]

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When curiosity meets opportunity – Celebrating Ahorna’s Internship at InvestorCOM

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An internship is an opportunity to learn. At InvestorCOM, it is also an opportunity to contribute, take ownership and help shape meaningful work. Throughout her internship, Ahorna embraced each of these opportunities. She contributed across feature development, product strategy and market research. Along the way, she brought curiosity, initiative and thoughtful problem-solving to the team. […]

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Product Pulse: Plan Investments Lookup in RolloverAnalyzer™

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Introducing RolloverAnalyzer™'s Plan Investments Lookup, where advisors can now derive plan investment costs from a client's own holdings, directly within the application. The lookup starts with the plan. With that selected, plan investment costs can be overridden. Open Lookup Plan Investments and search by fund name or ticker. Every result comes from the plan's own filed investment menu. Enter each balance [...] Read More

Celebrating 19 Years of Trust and Client Focus: Melanie Sergi

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This month, Melanie Sergi, Director – PMO and Client Experience, celebrates an extraordinary milestone: 19 years with InvestorCOM. Over nearly two decades, Melanie has grown alongside the company. She has led the vast majority of InvestorCOM’s largest client onboardings and helped shape the project delivery discipline and client experience culture behind the company’s growth.   […]

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Stop Buying Speed. Start Building Evidence.

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Wealth firms have spent years trying to make annuity transactions faster. Digital applications, automated workflows and streamlined processing have all helped reduce friction. But speed is not the same as defensibility. The greater risk often sits earlier in the process: Can the firm demonstrate why the recommendation was appropriate for that client? As Rob Dearman, [...] Read More

Booming Annuity Sales Put Advisors In Regulators’ Crosshairs

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This article first appeared on Financial Advisor Annuity sales are booming. So are regulators' questions about how and why advisors recommend them. With U.S. annuity sales topping $107 billion during the first quarter of 2026, compliance experts say the biggest risk is no longer the products themselves but whether advisors can prove each recommendation served [...] Read More