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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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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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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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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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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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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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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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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Given the winds of political change and the SEC’s October 26 roundtable on Regulation Best Interest, regulatory and industry experts from Scopus Financial Group and Celent provide an insightful conversation on: The macro outlook: The impact of political change on Reg BI and the wealth management industry Industry responses to Reg BI and common […]
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