Events

Join us at an upcoming webinar or conference

FINRA Annual Conference 2023

FINRA Annual Conference 2023

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

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 CL San Diego 2023

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 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

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

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

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 […]

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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 […]

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NSCP National Conference

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 […]

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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 […]

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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 […]

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