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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
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Implementation of Client Focused Reforms and Impact of Limited Product Shelves

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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AI has arrived in wealth management

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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