Events

Meet InvestorCOM at the 2022 NSCP National Conference, on Oct 16-19 2022 in National Harbor, MD. Parham Nasseri, InvestorCOM’s VP of Regulatory Strategy will be presenting at the following session: 9c. BD/IA – FinTech Structure and Registration: Compliance Aligned Innovation (Intermediate) Pre-book a meeting with us to discuss your firm’s regulatory challenges and how to […]

Webinar: September 28, 2022 at 1 pm ET The SEC’s draft strategic plan highlights the enforcement team’s focus on recommendations made to retail investors. With the SEC scrutinizing the placement of retail investors’ funds, and the first ever Reg BI enforcement case behind us, firms and financial professionals may be considering the value of automated […]

Webinar: Sept 27, 2022 at 1 pm ET It’s been nine months since the Client Focused Reforms (CFRs) went into effect. Since then, have the implementations of the Know Your Product (KYP) and product due diligence requirements delivered better investor outcomes and recommendations?  Or are firms and advisors still trying to figure it out? Join […]

On-Demand Webinar With PTE 2020-02 in effect, firms and financial representatives have taken steps to achieve varying states of compliance.  With FINRA ramping up Reg BI examinations and the SEC focusing on Reasonably Available Alternatives, many firms are asking how best to prepare. Watch this on-demand webinar to hear industry experts David Porteous, Partner at […]

Meet InvestorCOM at the Envestnet Advisor Summit, May 11-12, 2022. Travis Champion, VP Business Development and David Reeve, CEO will be attending. Book a meeting with us to discuss your firm’s regulatory challenges and how to turn compliance into an opportunity.    

ON-DEMAND WEBINAR   In February, FINRA published its 2022 Report on Examination and Risk Monitoring Program. With 2021 marking the first full year of Reg BI examinations, the FINRA Report highlights that firms can do more in meeting their Reg BI obligations. Some of the Report’s most notable findings are related to compliance with the […]

ON-DEMAND WEBINAR It’s been just over a month since Client Focused Reforms (CFR) came into effect.  In our conversations with dealers, the vast majority have met the KYP requirements by deploying technology or meeting the requirements manually, while some have adopted a ‘wait and see’ approach. Join us on February 17  to hear industry experts […]

ON-DEMAND WEBINAR 2022 will likely bring an abundance of compliance priorities for wealth firms and financial professionals. Much has been reported about the limited adoption of Reg BI, specifically as it pertains to the Care Obligation and the requirement to assess reasonably available alternatives. Moreover, the DOL’s PTE 2020-02 and SEC have magnified the level […]