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 in Austin, Texas. This event provides a unique opportunity for compliance professionals to learn, connect and engage with peers and industry leaders. Attend a […]
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 deadline around the corner, broker-dealers and investment advisors will be turning their full attention to best practices around the PTE 2020-02 retrospective review requirements, including […]
Read More
NSCP 2022
Meet InvestorCOM at the 2022 NSCP National Conference, on Oct 17-19 2022 in National Harbor, MD. Parham Nasseri, InvestorCOM’s VP of Regulatory Strategy will be presenting at the following panel session: 9c. BD/IA – FinTech Structure and Registration: Compliance Aligned Innovation (Intermediate) Other panelists include Robin Freeman, CCO at LaSalle Investment Management and Iain Duke-Richardet, Head […]
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 first ever Reg BI enforcement case behind us, firms and financial professionals may be considering the value of automated solutions that provide consistent and repeatable […]
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 requirements delivered better investor outcomes and recommendations? Or are firms and advisors still trying to figure it out? Watch this on-demand webinar to hear Alexandra […]
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 focusing on Reasonably Available Alternatives, many firms are asking how best to prepare. Watch this on-demand webinar to hear industry experts David Porteous, Partner at […]
Read More
PTE 2020-02 – Regulatory Compliance, Technology & Growth Opportunities
On-Demand Webinar With the Department of Labor’s PTE 2020-02 deadline approaching and the SEC’s Reg BI examinations ramping up, some firms may be tempted to address the regulatory requirements using manual or band-aid solutions. Watch this on-demand Webinar to hear industry-leading compliance and regulatory practitioners discuss the opportunities and challenges related to meeting the […]
Read More
Envestnet Advisor Summit 2022
Meet InvestorCOM at the Envestnet Advisor Summit, May 11-12, 2022. Travis Champion, VP Business Development and David Reeve, CEO will be attending. Book a meeting with us to discuss your firm’s regulatory challenges and how to turn compliance into an opportunity.
Read More
FINRA’s 2022 Exam Report and the Focus on Reg BI
ON-DEMAND WEBINAR In February, FINRA published its 2022 Report on Examination and Risk Monitoring Program. With 2021 marking the first full year of Reg BI examinations, the FINRA Report highlights that firms can do more in meeting their Reg BI obligations. Some of the Report’s most notable findings are related to compliance with the […]
Read More