Events

Join us at an upcoming webinar or conference

Regulation Best Interest Case Studies

Meet Your Speakers Issa Hanna, Partner, Eversheds Sutherland With over a decade of experience in securities and insurance law, Issa Hanna helps broker-dealers, investment advisers, investment funds and insurance producers comply with the regulatory requirements applicable to their businesses. He has deep experience counseling and advising clients on the evolving standards of conduct in the [...] Read More
ComplyConnect Conference & Expo

ComplyConnect Conference & Expo

November 8 – 10, 2022 | Austin, TX InvestorCOM is pleased to be participating at the ComplyConnect Conference & Expo taking place at the Omni Barton Creek Resort & Spa in Austin, Texas. This event provides a unique opportunity for compliance professionals to learn, connect and engage with peers and industry leaders.   Attend a […]

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DOL’s Fiduciary and Retrospective Review Expectations

On-Demand Webinar   The Department of Labor’s Prohibited Transaction Exemption (DOL PTE 2020-02) requirements are now in full effect, including the documentation and disclosures of rollover recommendations. With the February deadline around the corner, broker-dealers and investment advisors will be turning their full attention to best practices around the PTE 2020-02 retrospective review requirements, including […]

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NSCP National Conference 2021

NSCP 2022

Meet InvestorCOM at the 2022 NSCP National Conference, on Oct 17-19 2022 in National Harbor, MD. Parham Nasseri, InvestorCOM’s VP of Regulatory Strategy will be presenting at the following panel session: 9c. BD/IA – FinTech Structure and Registration: Compliance Aligned Innovation (Intermediate) Other panelists include Robin Freeman, CCO at LaSalle Investment Management and Iain Duke-Richardet, Head […]

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Reg BI Exams and Enforcement

On-Demand Webinar 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 solutions that provide consistent and repeatable […]

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The CFRs: What’s Working, What’s Not and the Journey Ahead

On-Demand Webinar 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? Watch this on-demand webinar to hear Alexandra […]

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Reg BI Enforcement, PTE 2020-02 Day 2 and What’s Next

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 […]

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PTE 2020-02 – Regulatory Compliance, Technology & Growth Opportunities

On-Demand Webinar   With the Department of Labor’s PTE 2020-02 deadline approaching and the SEC’s Reg BI examinations ramping up, some firms may be tempted to address the regulatory requirements using manual or band-aid solutions. Watch this on-demand Webinar to hear industry-leading compliance and regulatory practitioners discuss the opportunities and challenges related to meeting the […]

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Envestnet Advisor Summit 2022

Envestnet Advisor Summit 2022

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.    

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FINRA’s 2022 Exam Report and the Focus on Reg BI

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 […]

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