Join us at an upcoming webinar or conference

Reg BI and PTE 2020-02 Compliance Priorities

Date: January 20 2022, 1 pm ET 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 […]

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National Society of Compliance Professionals (NSCP) National Conference

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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Making Compliant Rollover Recommendations

Webinar: November 17 2021 at 1 pm ET 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. Join our panel [...] Read More

Implementing KYP: Dealer & Advisor Case Studies

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 to hear […]

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SEC and DOL: Rollover Requirements

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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Webinar: Reg BI Exams – Reasonably Available Alternatives and Record Keeping

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 alternatives at […]

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Webinar: Client Focused Reforms – Implementing KYP

On-Demand Webinar With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting the remaining elements of the CFRs. Watch this 60-minute on-demand webinar to hear industry experts from Assante Wealth Management and BLG discuss approaches firms can take to meet their KYP obligation. The discussion will focus on: Practical […]

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Webinar: Reg BI Exams – The Care Obligation

With a new SEC Chair sworn in and regulators conducting Regulation BI exams that go beyond ‘good-faith’ efforts, firms will be looking to adjust their practices to meet the principles of Reg BI and close any outstanding gaps related to the Care Obligation. Watch our On-Demand Webinar to hear industry leaders from Oyster Consulting and […]

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Webinar: Client Focused Reforms and the KYP Challenge

The Client Focused Reforms (CFRs) introduces new Know Your Product (KYP) provisions for investment dealers and their representatives. In a recent wealth management industry survey, we found that the KYP obligations for dealers and advisors are a tangible implementation challenge for many. Watch our Webinar for MFDA dealers to hear industry leaders from Canada Life […]

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Webinar: 2021 Reg BI Exams & Variable Annuities

It has been six months since Reg BI’s best interest standard went into effect. Initially, the regulators required that firms make “good faith” and reasonable efforts to ensure the principles of the regulation were in place.  However, the SEC recently shifted gears. Starting January 2021, the SEC will move beyond good faith expectations and expand […]

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