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From Errand to Enabler: Compliance Is Now a Strategic Business Decision

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In a rapidly evolving regulatory landscape, wealth management firms can no longer treat compliance as a mere legal obligation. Once confined to the back office, compliance is now front and center in shaping how firms grow, serve clients, and build trust. The Industry Shift: From Risk Avoidance to Strategic Advantage For years, compliance programs were [...] Read More

The Best Interest Era: What Every Firm Needs to Know

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For too long, "best interest" has been a phrase that sounded good in policy manuals but lacked operational teeth. That era is now over. What began as a principles-based initiative under Reg BI has matured into an enforcement framework – one where regulators are no longer looking for internal policies. They’re looking for proof. Increasingly, [...] Read More

Half a Decade of Reg BI: Progress Made, Gaps Remain 

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As we mark the fifth anniversary of the SEC’s Regulation Best Interest (Reg BI), it’s evident that while strides have been made, the journey toward full clarity and compliance continues. Insights from the 2025 FINRA Annual Conference and recent industry analyses highlight ongoing challenges and opportunities in the Reg BI landscape.   Persistent Ambiguities in Compliance  […]

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The Compliance Burden Holding Financial Advisors Back – And How to Fix It

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For decades, financial professionals have walked a regulatory tightrope – balancing growth, client relationships, and ever-changing compliance standards. The pressure has only increased in recent years, especially in the high-stakes world of rollover recommendations. Advisors must not only provide sound financial advice but also document, justify, and be ready to defend every decision to regulators. [...] Read More

As SEC Throttles Enforcement, States Finalize Their Own Advisor Standards

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by Tracey Longo   As the Securities and Exchange Commission pumps the brakes on securities enforcement, the North American Securities Administrators Association is preparing to roll out a regulatory standard of its own to help states better protect investors from financial advisors with conflicts of interest, an NASAA official said in an interview today. In […]

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The Fiduciary Rule Rollercoaster: Compliance Strategies for 2025

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The fiduciary rule has remained a source of regulatory uncertainty for financial professionals, with recent developments adding further complexity. In a significant turn, the Trump administration has requested a pause in ongoing appeals related to the Department of Labor’s (DOL) fiduciary rule, further complicating the landscape for wealth and asset managers seeking clarity on compliance [...] Read More

Supercharge Your Practice with Growthtech

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By David Reeve  Client-facing technology plays a vital role in achieving organic growth Wealth firms consider organic growth the most important metric heading into 2025, according to Schwab’s RIA benchmarking survey. Despite this goal, organic growth has languished in the low single digital rates in recent years, driven by several factors including the decumulation of [...] Read More

Why is RolloverAnalyzer Driving 30% Asset Growth for Financial professionals and Firms?

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In today’s regulatory landscape, capturing rollover assets is both a significant opportunity and a complex challenge for financial professionals and firms. Every year, billions of dollars are moved from employer-sponsored retirement plans into Individual Retirement Accounts (IRAs), offering financial professionals a chance to strengthen relationships, grow their practices, and demonstrate value. However, given the conflicts […]

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2024: InvestorCOM’s Year In Context

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As we approach the end of another transformative year, InvestorCOM celebrates the milestones and progress that defined 2024. The year was defined by a rapidly evolving wealth management industry responding to significant developments in regulatory policy. At InvestorCOM, we remained steadfast in our mission to empower firms and financial professionals with innovative solutions, helping them [...] Read More