Get the latest updates on regulatory compliance


Navigating Reg BI: The Top 3 Insights from SIFMA C&L Annual Seminar

As conference season kicks off, the InvestorCOM team recently had the opportunity to participate in the SIFMA C&L Conference, a pivotal event in the financial industry. Amidst discussions on the evolving landscape of regulatory compliance, particularly in the wake of Regulation Best Interest (Reg BI), there were remarkable insights and new concepts unveiled that are […]

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InvestorCOM Elevates Parham Nasseri to President

InvestorCOM is proud to announce the appointment of Parham Nasseri to President effective immediately.  Over the last four years, Parham has taken on increasing responsibility and driven outstanding results.  In his new role, Parham is responsible for Regulatory Strategy, Marketing, Product Management/Development and Customer Success. Several of Parham’s achievements over the last four years include […]

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Compliance Insights: Master CIRO Exam Preparation with InvestorCOM

On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) published their exam priorities for the year and what the areas of focus will be during upcoming exams for all dealers. This year’s exams of both mutual fund and investment dealers will include a focus on the second phase of the client focused reforms (CFRs).  […]

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InvestorCOM Introduces Account Recommendation Application to Wealth Compliance Platform 

AccountCompare ensures the rationale for account recommendations are in the investor’s best interest, digitally documented and aligned with the firm’s policies.  Toronto, ON, January 30, 2024 – InvestorCOM, a leading wealth compliance software provider, today announced that its powerful compliance platform now features an account analysis application to help financial professionals ensure the account type is […]

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Peer Rating: Simplifying the Process of Comparing Reasonably Available Alternatives

InvestorCOM’s Peer Rating metric was developed to simplify the process of comparing Reasonably Available Alternatives (RAA) for investment product selection, supporting the SEC’s Reg BI Care Obligation and the Client Focused Reforms in Canada. Peer Ratings are an integral feature within the PeerCompareTM and ShelfAnalyzerTM compliance applications. Regulatory Expectations Regulators expect financial professionals to consider […]

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New Department of Labor (DOL) Fiduciary Rule: Embracing New Regulatory Requirements

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 Introduces Account Recommendation Application to Wealth Compliance Platform

Navigating Compliance and Enhancing Financial Decision-Making with AccountCompare

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