Events

Join us at an upcoming webinar or conference

Compliance as a Business Enabler: Transforming Oversight into Opportunity

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Webinar: July 17 at 1PM ET In a landscape shaped by regulatory uncertainty and shifting priorities, compliance is no longer a static function. From changing interpretations of Reg BI to fluctuating enforcement patterns across administrations, today’s compliance and supervision leaders are navigating a moving target. This environment calls for a more strategic approach – one [...] Read More

Leading Through Uncertainty: What’s Top of Mind for Today’s Wealth Leaders

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InvestorCOM Roundtable Summary: Discover how senior wealth executives are turning uncertainty into opportunity. In a rapidly shifting regulatory environment, today’s wealth and compliance leaders aren’t just reacting to change — they’re driving it. This exclusive summary, based on a peer-led conversation captures key insights from across the wealth industry. What’s inside: How CCOs are navigating [...] Read More

FINRA, SEC and the Best Interest Crackdown: Are You Prepared?

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Five years into the best interest journey, enforcement activity is picking up and shedding much needed light on the regulatory expectations across the investment advisory and broker dealer arena. The latest wave of fines and sanctions around account type recommendations and clone ETFs highlight the growing pressure on wealth firms and professionals to consider the [...] Read More

Principles to Practice: Implementing Your Regulatory Program

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Webinar: February 11, 2025 | 2PM 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 [...] 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