Date: June 9, 2022 at 1 pm ET 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. Join us on June 9 at 1 pm ET to hear industry-leading compliance and regulatory […]
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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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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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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 […]
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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 […]
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InvestorCOM will be exhibiting at the NSCP National Conference, on November 8-10, 2021. Drop by Booth 39 to meet us and to learn how we can help your firm and financial professions meet their regulatory requirements for Reg BI and the DOL’s PTE 2020-02. Alternatively, schedule a time to meet with Travis Champion, VP of […]
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ON-DEMAND WEBINAR The SEC and DOL are continuing to focus on rollover recommendations and their impact on investors. The DOL’s Fiduciary Rule and PTE 2020-02 requirements, enforceable on December 21, 2021, will perhaps become the new industry standard going forward. Meet your rollover requirements with confidence. Access this on-demand webinar to hear our panel of […]
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ON-DEMAND WEBINAR With less than 4 months remaining on the Client Focused Reforms (CFR) journey, investment dealers and advisors will be taking final steps to meet their KYP requirements. Throughout this journey, InvestorCOM met with more than 50 dealers and helped dozens meet their KYP requirements. Join us on October 6 at 1 pm ET […]
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ON-DEMAND WEBINAR The DOL and the SEC are increasingly focusing on rollover recommendations and their impact on investors. The DOL’s PTE 2020-02 expands the definition of fiduciary advice when recommending rollovers. While the SEC encourages documentation, the DOL makes documentation an explicit requirement of its proposed prohibited transaction exemption for fiduciary investment advice. Get ready […]
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ON-DEMAND WEBINAR With Reg BI examinations and enforcement actions expected to increase in 2021, firms are looking to meet the Care Obligation’s requirement of assessing “reasonably available alternatives”. In this on-demand webinar, our panel of experts will take a deeper dive into a consistent and repeatable process for assessing costs and a reasonable range of […]
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