Events

DOL’s Retrospective Review – A Practitioner’s Guide to Compliance

Events

On-demand Webinar >> The Department of Labor’s first retrospective review deadline for PTE 2020-02 is days away, requiring firms to certify that they have policies and procedures and a prudent process in place to achieve PTE 2020-02 compliance. Watch this on-demand webinar to hear industry experts from Davenport & Company LLC, Oyster Consulting and InvestorCOM [...] Read More

SEC Guidance on Reasonably Available Alternatives

Events

On-demand Webinar  >>   The SEC recently published guidance for advisors and broker-dealers on meeting their care obligations when making recommendations to retail investors. In what was part three of a series of recent guidance relating to account-type recommendations and Care Obligation deficiencies, the SEC provided much-needed clarity around the principles of assessing costs and reasonably available [...] Read More

FINRA Annual Conference 2023

Events

Meet InvestorCOM at the FINRA Annual Conference on May 16-18, 2023 in Washington DC. FINRA’s Annual Conference provides the opportunity for practitioners, peers and regulators to exchange ideas on today’s most timely compliance and regulatory topics. The conference offers industry professionals a variety of sessions related to current trends in technology, cybersecurity, risk management and […]

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2023: SEC & FINRA’s Focus on Reg BI’s Care Obligation

Events

On-Demand Webinar  >>  FINRA’s 2023 risk monitoring report, the SEC’s Risk Alert on Reg BI and 2023 Exam Priorities are three recent regulatory reports that call out deficiencies and a continued focus on Reg BI’s Care Obligation. With regulators calling for more to be done, we invite you to watch this on-demand webinar to hear [...] Read More

SIFMA C&L Annual Seminar 2023

Events

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 in financial services to gain an understanding of what’s next for the markets and the clients we serve.  

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The Challenge of Implementing and Adopting Compliance Technology

Events

On-demand Webinar  >>   Adopting technology across a financial services enterprise is challenging, fraught with risk and requires significant expertise and forethought. This challenge is exacerbated when adopting compliance technology. Many CCOs already wear multiple hats and may not have adequate capacity to undertake a technology implementation. Furthermore, the highly regulated wealth industry puts pressure on [...] Read More

Regulation Best Interest Case Studies

Events

On-Demand Webinar    >>  FINRA and the Securities and Exchange Commission (SEC) brought their first Regulation Best Interest (Reg BI) enforcements this fall and have stated that they will be zeroing in on firms that don’t address and mitigate conflicts of interest and ensure all-in investment costs are reasonable for clients, given their profiles and goals. [...] Read More

ComplyConnect Conference & Expo

Events

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 […]

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DOL’s Fiduciary and Retrospective Review Expectations

Events

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 […]

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NSCP 2022

Events

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 […]

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