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Webinar Summary – Practical Implications of DOL Fiduciary Rule

The financial advisory landscape is on the brink of significant transformation with the implementation of the Department of Labor’s (DOL) new fiduciary rule. This shift aims to enhance protections for retirement investors and clarify the responsibilities of financial advisors. InvestorCOM’s recent webinar gathered wealth industry experts Craig Watanabe, William Nelson, Ed Wegener alongside InvestorCOM’s Randy [...] Read More

Industry Roundtable: Key Takeaways on DOL’s Fiduciary Rule

In a landscape shifting towards greater investor protection, recent regulatory changes are reshaping the responsibilities of financial advisors and wealth firms. The DOL’s Final Fiduciary Rule, also known as the Retirement Security Rule, is seen as another step in this direction.  InvestorCOM hosted an executive roundtable on June 12, where industry leaders and insiders shared […]

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InvestorCOM Named a Finalist for the 2024 WealthManagement.com Industry Awards

InvestorCOM’s AccountCompare Solution has been nominated in the best Compliance Technology Provider category. Toronto, ON, Jun 07, 2024 – InvestorCOM, a leading compliance software provider to the wealth management industry, today announced that it was named as a finalist for the best Compliance Technology Provider in the 2024 WealthManagement.com Industry Awards. InvestorCOM’s innovations behind AccountCompare, and [...] Read More
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FINRA Annual Conference – Reg BI Déjà Vu 

The FINRA Annual Conference once again proved to be an exciting opportunity to reconnect with the compliance community and InvestorCOM clients. This year’s event was marked by in-depth discussions on the evolving regulatory landscape, with a particular focus on Regulation Best Interest (Reg BI) and the Department of Labor (DOL) Fiduciary Rules. The consensus among […]

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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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