By David Reeve The “grow or die” mantra affects every industry, including wealth management. Over the past decade, both organic and inorganic growth has been robust, with market performance at record levels and high levels of mergers-and-acquisitions activity. However, over the past few years, wealth firms have been challenged to deliver organic growth rates above […]
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Since the advent of Regulation Best Interest (Reg BI) in 2020 wealth firms have seen increased scrutiny in their regulatory examinations. This year proves no different, with a heightened focus on firms’ compliance with Reg BI and their ability to illustrate how they are acting in the best interests of their investors . Anecdotally, one […]
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In the fast-paced world of financial services, staying compliant with regulations while ensuring the best outcomes for clients can be challenging. One of the key regulatory requirements is the retrospective review process, particularly in the context of rollover activities. This is where InvestorCOM’s Compliance Dashboard becomes an invaluable tool, providing comprehensive insights and actionable data […]
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The Department of Labor’s fiduciary rule has been a hot topic in the financial industry, causing what some have dubbed “Fiduciary Rule Mania.” With recent court cases stemming potential regulatory changes, uncertainty looms large for those navigating the complexities of compliance. In a recent discussion, industry leaders shared their insights on how to best navigate […]
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In the dynamic landscape of wealth management, the only constant is the continual evolution of regulations. As the industry faces relentless shifts in compliance requirements, staying ahead of these changes becomes crucial for maintaining trust and integrity. InvestorCOM emerges as a beacon of innovation in this challenging environment. By adhering to a service-first culture, we […]
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At InvestorCOM, our commitment to providing service and innovative solutions is more than just a mission statement—it’s our way of doing business. This unwavering dedication is exemplified by our partnership with RFG Advisory, whose recent Client Health Scores reflect perfect ratings across four key metrics: Customer Service, Solutions Satisfaction, Net Promoter Score (NPS), and Likelihood […]
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The recent court decision on the Department of Labor’s (DOL) Retirement Security rule has sent waves through the wealth advisory industry, delaying the implementation and creating a sense of uncertainty for many. This decision comes at a critical time, as the Fiduciary Rule (also known as Retirement Security Rule) was broadly aligned with Regulation Best […]
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This year, we conducted a survey of RolloverAnalyzer users from a prominent US advisory firm, and the results were nothing short of astounding. The feedback was overwhelmingly positive, showcasing the significant impact our solution has on financial advisors’ productivity and satisfaction. Participants in the survey expressed a clear consensus: RolloverAnalyzer dramatically enhances their efficiency and […]
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By Adam Deathe In a recent conversation, wealth industry experts came together to shed light on the intricate requirements of the latest DOL fiduciary rule. The dialogue underscored the pressing need for financial advisors and firms to embrace rigorous standards of prudence, loyalty, and transparency to protect clients and maintain compliance. Here are the […]
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