Get the latest updates on regulatory compliance

Peer Rating: Simplifying the Process of Comparing Reasonably Available Alternatives

InvestorCOM’s Peer Rating metric was developed to simplify the process of comparing Reasonably Available Alternatives (RAA) for investment product selection, supporting the SEC’s Reg BI Care Obligation and the Client Focused Reforms in Canada. Peer Ratings are an integral feature within the PeerCompareTM and ShelfAnalyzerTM compliance applications. Regulatory Expectations Regulators expect financial professionals to consider […]

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New Department of Labor (DOL) Fiduciary Rule: Embracing New Regulatory Requirements

The US Department of Labor (DOL) released its new fiduciary rule proposal on October 31. InvestorCOM hosted the wealth industry’s trusted experts to share their experience and insights on how the industry can handle new regulatory requirements, including the DOL’s new proposal. Dawn Thomason, Chief Compliance Officer, USA Financial This has been going back and […]

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InvestorCOM Introduces Account Recommendation Application to Wealth Compliance Platform

Navigating Compliance and Enhancing Financial Decision-Making with AccountCompare

Introduction:  In the intricate world of financial services, where regulatory compliance is paramount, InvestorCOM’s AccountCompare emerges as a robust solution. It not only streamlines the process for financial professionals but also ensures meticulous adherence to crucial regulations. In this post, we’ll explore how AccountCompare aligns with and addresses specific regulatory requirements, ultimately empowering financial professionals [...] Read More
Ontario Securities Commission Logo

Implementation of Client Focused Reforms and Impact of Limited Product Shelves

On November 16, The Ontario Securities Commission (OSC) published its proposed Statement of Priorities for 2024-2025 year. One of the key priorities include the OSC’s focus on the implementation of the Client Focused Reforms (CFRs). The excerpt below highlights the details of the proposal, including the actions and planned outcomes by the OSC.

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Big data technology and data science illustration

AI has arrived in wealth management

I recently asked one of the leading GPT (generative pre-trained transformer) platforms how artificial intelligence (AI) is changing the wealth management industry.

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DOL Fiduciary Obligations & SEC Guidance

On October 31, 2023, the Department of Labor (DOL) proposed a new rule aimed at “Improving Investment Advice for Workers & Retirees”. InvestorCOM hosted a webinar, with the wealth industry’s most trusted and seasoned experts, to discuss this new proposal. Prior to the webinar, InvestorCOM asked our webinar attendees the following poll questions. Here are the results.

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DOL Proposes New Rule to Improve Investment Advice for Workers and Retirees

On October 31, 2023, the Department of Labor (DOL) proposed a new rule aimed at “Improving Investment Advice for Workers & Retirees”. This rule defines who is an investment advice fiduciary for purposes of the Employee Retirement Income Security Act (ERISA). The Department released proposed amendments to prohibited transaction exemptions (PTEs) available to investment advice […]

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NSCP 2023 Recap

The third week of October 2023 marked a momentous occasion for me. It was my first ever attendance at the National Society of Compliance Professionals conference, and I must say, it did not disappoint.

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