2022: A Year of Growth and Transformation
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 […]
Read MoreAs 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 […]
Read MoreA 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%), […]
Read MoreDespite 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 […]
Read MoreInvestorCOM’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 […]
Read MoreSince 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. […]
Read MoreInvestorCOM 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 […]
Read MoreRequirements of PTE 2020-02 To provide perspective on the annual retrospective review for exemptive relief under PTE 2020-02 (“the exemption”), it is helpful for context to review a summary of […]
Read MoreInvestorCOM 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 […]
Read More“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 […]
Read MoreIn 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 […]
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