Events

2023: SEC & FINRA’s Focus on Reg BI’s Care Obligation

Events

On-Demand Webinar  >>  FINRA’s 2023 risk monitoring report, the SEC’s Risk Alert on Reg BI and 2023 Exam Priorities are three recent regulatory reports that call out deficiencies and a [...] Read More

SIFMA C&L Annual Seminar 2023

Events

Meet InvestorCOM at the SIFMA C&L Annual Seminar 2023 on March 12-15 2023 in San Diego. SIFMA’s C&L Annual Seminar is the preeminent meeting place for compliance and legal professionals […]

Read More

The Challenge of Implementing and Adopting Compliance Technology

Events

On-demand Webinar  >>   Adopting technology across a financial services enterprise is challenging, fraught with risk and requires significant expertise and forethought. This challenge is exacerbated when adopting compliance technology. Many [...] Read More

Regulation Best Interest Case Studies

Events

On-Demand Webinar    >>  FINRA and the Securities and Exchange Commission (SEC) brought their first Regulation Best Interest (Reg BI) enforcements this fall and have stated that they will be zeroing [...] Read More

ComplyConnect Conference & Expo

Events

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 […]

Read More

DOL’s Fiduciary and Retrospective Review Expectations

Events

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 […]

Read More

NSCP 2022

Events

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 […]

Read More

Reg BI Exams and Enforcement

Events

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 […]

Read More

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

Events

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 […]

Read More

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

Events

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 […]

Read More