Events

Join us at an upcoming webinar or conference

Principles to Practice: Implementing Your Regulatory Program

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Webinar: January 23, 2025 | 1PM ET Recent enforcement actions suggest wealth firms are facing mounting pressure to balance regulatory compliance with exceptional client service. Financial professionals must also go further than ever to prioritize clients’ best interests. Five years into the best interest journey, many have adopted policies, but exam priorities indicate an implementation challenge. [...] Read More

Impact of the New Administration on Wealth Management Regulations

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Webinar: December 10, 2024 | 2PM ET The incoming administration, led by President-elect Donald Trump, will take office in January 2025. As with any transition of power, the industry anticipates policy changes to follow.  While the policies of the previous Trump administration, as well as promises made during the recent election, the panel will provide [...] Read More

Navigating Regulatory Exams in the Age of Best Interest

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On-Demand Webinar With increasing regulatory scrutiny, wealth advisory firms are being challenged to ensure compliance with best interest standards. As part of this shift, transitioning from manual based to fully digitized compliance practices has become essential, driving efficiency, transparency, and better outcomes in regulatory exams.  Join us on October 17, at 1PM ET, to explore [...] Read More

Fiduciary Rule Mania: Navigating Uncertainty

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On-Demand Webinar: August 15, 2024 With consecutive court rulings putting a hold on the Department of Labor’s (DOL) Retirement Security rule, wealth industry professionals find themselves facing a period of uncertainty.   While the rule was broadly aligned with the requirements of Regulation Best Interest (Reg BI), the Advisers Act of 1940, along with PTE [...] Read More

DOL Fiduciary Rule: Practical Implications

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Webinar: June 25, 2024 This is the second webinar of InvestorCOM's 3-part series on the DOL rule. The first in the series provided a high-level overview of the Retirement Security Rule with a panel of experts. This webinar will focus on the revisions to PTE 2020-02 and how firms can align with the new version [...] Read More

Decode the New DOL Rule: Strategic Implications for Your Firm

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On-Demand Webinar  The Department of Labor (DOL) has released its latest fiduciary rule, signaling significant strategic implications for firms across the financial sector. As firms navigate this new regulatory landscape, understanding the rule's nuances and operational impacts is crucial. Watch InvestorCOM's webinar focused entirely on helping you understand the New DOL Rule and its strategic [...] Read More

Navigating CIRO Exam Priorities and Focus Areas

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On-Demand Webinar >>> On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) revealed its exam priorities for the year. These priorities shed light on the focus areas for upcoming exams across all dealers, particularly emphasizing the second phase of the client-focused reforms (CFRs).   In collaboration with the Canadian Securities Administrators, CIRO’s examinations will delve [...] Read More

Reg BI Case Studies: Assessing Reasonably Available Alternatives

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On-Demand Webinar >>> FINRA and the SEC have underscored their focus on firms' adherence to Regulation Best Interest (Reg BI), with an emphasis on the care obligation that requires firms to evaluate reasonably available alternatives (RAA). Facing more intense scrutiny than ever before, firms must evaluate their compliance processes when it comes to the care obligation.  [...] Read More

DOL & SEC’s Best Interest Principles: A Gateway to Growth in 2024

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On-Demand Webinar >>> With the DOL’s Fiduciary proposal comment period behind us, many are assessing how the proposal, which includes new definition of fiduciary and changes prohibited transaction exemptions for rollovers (PTE 2020-02) and PTE  84-24 will impact their business model.   The proposed changes present not only challenges but also substantial opportunities for forward-thinking firms. [...] Read More

Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda

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Webinar - December 12, 2023 at 1:00 PM ET The SEC recently published its 2024 exam priorities, highlighting key examination and compliance priorities as it relates to many areas, including Regulation Best Interest and Investment Advisors. Later in the fall, the SEC’s enforcement branch reported 784 actions, with nearly $5 billion in fines, painting a clear [...] Read More