Events

2026 Compliance Readiness: Expect More, Prepare Smarter

Events

Webinar: 20 November, 2025 at 2pm ET   2025 has been a year of compliance recalibration for wealth firms. While the regulatory pipeline has slowed, oversight has intensified. The SEC and FINRA have issued more targeted examinations, enforcement actions, and penalties – signaling that the era of reactive compliance is over. As firms prepare for [...] Read More

Tap into the $1.3 Trillion Rollover Opportunity

Events

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

Events

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

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

Events

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

Events

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

Events

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

Events

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

Events

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

Events

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