Events

Join us at an upcoming webinar or conference

The Great Convergence: Bridging Wealth & Retirement

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Webinar | Feb 12, 2026, 1PM ET The convergence of wealth management and retirement planning is reshaping the financial services industry. As retirement plan advisors (RPAs) expand into wealth, and wealth managers target retirement assets, rollovers have emerged as the key battleground, representing a trillion dollars annually in addressable assets.  This seismic shift brings both opportunity and regulatory scrutiny. Growth focused [...] Read More

Navigating Regulatory Expectations Under CFRs

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On-Demand Webinar Bridging the Compliance Gap: Meeting Regulator Expectations Under CFRs  The CSA and CIRO have issued new guidance under Staff Notice 31-368, highlighting persistent compliance gaps in how firms are implementing the Client-Focused Reforms (CFRs) — particularly around Know Your Product (KYP) and the assessment of a Reasonable Range of Alternatives.  InvestorCOM hosted leading [...] Read More

2026 Compliance Readiness: Expect More, Prepare Smarter

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The Convergence Era: How Compliance, Wealth, and Retirement Planning Are Reshaping the Future of Advice in 2026 The Industry Is Entering Its Most Transformative Convergence Yet Wealth management, retirement advice, and compliance have traditionally operated in adjacent but separate lanes. That separation is disappearing. In 2026, firms are entering a convergence era – where regulatory [...] Read More

Tap into the $1.3 Trillion Rollover Opportunity

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On-Demand Webinar Compliance and Growth in the Rollover Opportunity The retirement landscape in North America is shifting rapidly. With an estimated $1.3 trillion in annual rollover activity on the horizon, wealth management firms are being presented with both extraordinary growth prospects and heightened regulatory expectations. This InvestorCOM webinar explores how firms can navigate this environment [...] Read More

Compliance as a Business Enabler: Transforming Oversight into Opportunity

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Compliance Isn’t the Enemy of Growth Anymore, They Are Complimentary On Demand Webinar Compliance has long been seen as a defensive function – necessary but burdensome, a cost center rather than a contributor to business success. But if there was one key takeaway from InvestorCOM’s recent webinar with compliance leaders and former regulators, it’s this: [...] 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