


SIFMA C&L Annual Seminar 2023
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

Regulation Best Interest Case Studies

ComplyConnect Conference & Expo
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
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
Reg BI Exams and Enforcement
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
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
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