Blog

As 2022 draws to a close, it’s a wonderful time to reflect on key milestones in our company’s journey and share our plans for the path ahead in 2023. A […]

A wealth industry poll taken by InvestorCOM on December 15, 2022, indicated that 63-73% of respondents have manual-based processes in place for making best interest recommendations for investment products (70%), […]

Despite the early threat of robo-advice disrupting the wealth industry, experts now align on the notion that technology will not displace the wealth advisor. The emergence of a hybrid model […]

InvestorCOM’s webinars provide an excellent forum in which to learn about the latest regulatory requirements from industry experts. Our November 1 webinar, “DOL’s Fiduciary and Retrospective Review Expectations”, featured industry […]

Since coming into force on June 30, 2020, broker-dealers have struggled to define and demonstrate how Reg BI’s Care Obligation assessment of reasonably available alternatives (RAA) is improving client outcomes. […]

InvestorCOM recently chatted with David Porteous from Faegre Drinker, Mitchel C. Pahl from Katten, Craig Watanabe from DFPG Investments, and Ed Wegener from Oyster Consulting LLC to discuss the PTE […]

InvestorCOM recently chatted with Issa Hanna from Eversheds Sutherland, Tom Selman from Scopus Financial Group, Ben Westin from Regulus Financial Group, and Randy Barnes from InvestorCOM to discuss the Regulation […]

“Really digging in.” That was the phrase used by Ms. Nekia Hackworth Jones, Esq. at the recent SIFMA C&L Regional Seminar in Charlotte, North Carolina to categorize how the SEC […]

In a recent blog article, we presented an analysis of the magnitude and volume of significant changes to Canadian investment products over a 12-month period. While the data indicated that […]