Blog

Get the latest updates on regulatory compliance

Advancing Regulatory Agility in Canada: Key Takeaways from the 2025 CRTA RegTech Conference

Blog
This week, members of the InvestorCOM team attended the Achieving Regulatory Agility – Innovating Canada’s Future conference, hosted by the Canadian Regulatory Technology Association (CRTA). The event brought together leaders from regulatory bodies, financial institutions, and the technology community to discuss how Canada can navigate an increasingly complex landscape of regulatory change, emerging risks, and accelerated AI [...] Read More

Navigating Uncertainty: Key Takeaways from the 2025 NSCP Annual Conference

Blog
The 2025 NSCP National Conference gathered compliance professionals from across the industry to discuss one persistent truth – enforcement and examinations have not gone away. Even amidst shifting political priorities and administrative transitions, regulators remain focused on protecting investors, ensuring transparency, and holding firms accountable. While the tone of enforcement may evolve, the expectation of [...] Read More

The Future of Financial Advice Is Integrated

Blog
Wealth, Retirement, and Rollover Innovation Are Powering the Next Era of Advisor Growth Across the wealth and retirement landscape, one message is growing louder: integration drives growth. Advisors who once treated retirement and wealth management as separate disciplines are now connecting them into a single, technology-enabled client experience – one that’s compliant by design and [...] Read More

Seamless Compliance. Growth made possible.

Blog

The British Columbia Securities Commission (BCSC) recently released its 2024 Compliance Report Card, offering valuable insights into how firms are adapting to the Client Focused Reforms (CFRs). Two themes emerged as particularly challenging for registrants:  Know Your Product (KYP)  Assessing a Reasonable Range of Alternatives  Both requirements go to the heart of putting clients’ interests […]

Read More

Modern Document Delivery: Turning Compliance into a Growth Opportunity

Blog
Wealth management firms are facing a perfect storm of challenges: Stricter and evolving regulatory standards. Inefficient, manual processes that slow down advisors and increase risk. Clients expecting faster, more transparent service. These issues can make it harder for firms to grow, protect their reputation, and build trust with investors.   Why These Challenges Matter Stricter [...] Read More

Product Pulse: InvestorCOM’s Salesforce Integration Transforms Compliance and Advisor Workflows

Blog
In the fast-paced world of wealth management, scaling a business isn’t just about adding more clients — it’s about doing so without compromising compliance, efficiency, or the advisor-client relationship. That’s where InvestorCOM’s Salesforce integration steps in, bringing compliance and advisor workflows together in one seamless motion. One Click. Zero Friction. With a single click, advisors [...] Read More

Product Pulse: Enhancing Oversight and Compliance with Firm-Level BCC/CC Functionality

Blog
Striking the right balance between regulatory oversight and operational efficiency is a growing priority for wealth firms today. With that in mind, InvestorCOM has introduced firm-level BCC and CC functionality, a powerful enhancement that strengthens compliance oversight while integrating seamlessly with your existing infrastructure. This new capability allows firms to automatically route advisor-to-investor disclosure communications [...] Read More

Product Pulse: Greater Oversight and Efficiency for CCOs and Advisors

Blog
In a constantly evolving regulatory landscape, compliance leaders and financial advisors need solutions that are not only effective but also intuitive and efficient. That’s why the latest update to RolloverAnalyzer is a game-changer. Purpose-built for a best interest environment, RolloverAnalyzer now gives Chief Compliance Officers (CCOs) and advisors more control, consistency, and confidence when handling [...] Read More

Compliance Is No Longer Just Risk Management. It’s Growth Strategy.

Blog

From Oversight to Opportunity: How Compliance Is Powering Growth By the time a rule is finalized, its intent has already rippled through the corridors of compliance. And by the time a Chief Compliance Officer (CCO) reacts, the best-run firms have already planned their next move. That’s the paradox of modern compliance – being late while […]

Read More

Compliance Without the Clutter

Blog
How smart compliance technology fits seamlessly into advisor workflows Compliance software has long had a reputation for getting in the way – adding steps, slowing conversations, and frustrating advisors just trying to do their job. But the best platforms today are rewriting that story. Rather than standing in the way of advisor efficiency, modern compliance [...] Read More