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Turning Compliance into an Opportunity

This article points out 6 regulatory opportunities – strategies that help wealth managers turn regulation into customer upside.  Our customers are implementing some of these ideas ahead of POS Stage 3 […]

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Seasons Greetings 2014

We at InvestorCOM wish you all the best for the holidays. Please click on the link below for a special message (and be sure your audio is turned “ON”).

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Financial Planning for Youth

I was listening to CBC “Spark” this week, and heard about some innovations in the school classroom that got me thinking about the challenges advisors have in engaging today’s youth […]

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Making CRM2 a Positive Client Experience

This week’s IE article on CRM2 fostering stronger client relationships is a rare and welcome view on the regulation.  Now that CRM2 is a reality, why not make the fee disclosure […]

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E-Delivery: Paperless or Less Paper?

Rarely does a week pass without a new article or whitepaper arguing the virtues of moving from printed communications to electronic communications.  And most recently, we have heard a lot […]

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Advisor showing TD Fund Facts Delivery

Marketing vs. Regulatory Disclosure

I recently attended a conference entitled “Does Disclosure Work?” hosted by the Capital Markets Institute and the Canadian Foundation for Advancement of Investor Rights (a.k.a. FAIR Canada) at the University […]

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Horse Trading and Web Site Domain Buying

While e-commerce has become mainstream on the Internet, I recently discovered there are still parts of the web that resemble the Wild, Wild West. If you’ve ever tried to buy […]

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