In response to COVID-19, organizations around the world have asked employees to self-isolate and work from home for the foreseeable future. In our industry, dealer compliance teams are working virtually to provide advice and service to their clients. With the Reg BI deadline fast approaching, firms now face a bigger challenge: meeting compliance with […]
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With the Reg BI compliance deadline looming, the regulators are shifting from expecting a “Bulletproof” Regulation Best Interest (Reg BI) process by June 30, to making “Good Faith” and reasonable efforts to ensure the principles of the regulation are in place. Tito Pombra from Adviser Compliance Consulting Inc., is an expert in good faith compliance. […]
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On June 4th, we hosted our third annual client conference. It was a day of networking, keynote presentations and interactive panel discussions exploring our conference theme, Financial Services 2030, through 3 perspectives: Digitization & Technology Trends – how will existing and new technology change the landscape in 2030? The “new client” – the largest intergenerational wealth transfer […]
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On February 28 2019, InvestorCOM hosted a client discussion on the pending regulation – Client Focused Reforms. We convened 25 of the industry’s leaders representing Investment Dealers, Asset Managers, Regulators and Legal Experts. The agenda of the discussion started with an update from the CSA, followed by a general discussion on KYC/KYP and concluded with […]
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InvestorCOM is hosting a Client Forum to discuss Client Focused Reforms on February 28 th . It will be a small group of senior Financial Services compliance professionals representing all the major dealers (banks, insurance, and independent). As a partner delivering compliance solutions, InvestorCOM has a history of working with industry leaders and creating innovative […]
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Check out highlights from our annual client conference “Bridging to a Digital Tomorrow” which was held on Tuesday June 26, 2018 at the Arcadian Court in Toronto. Our speakers covered a wide range of topics including the “Beauty of Discomfort”, Open Banking, how to launch a Digital FI, achieving 60% e-migration for client reporting, Digital […]
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Watch some of the highlights from our annual client conference “Disruption in the Wealth Management Industry” which was held on Tuesday, June 27, 2017 at Arcadian Court in Toronto. Our speakers commented on changing consumer behaviours; unlikely new competitors; FinTech; and, a changing regulatory landscape. Stay tuned for information on our 2018 conference! Conference Details […]
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Thank you for joining us at our annual conference which was held on Tuesday, June 27, 2017! We thank everyone who attended and hope you enjoyed our expert perspectives on the disruptive forces in the marketplace. Our speakers commented on; changing consumer behaviours; unlikely new competitors; FinTech; and, a changing regulatory landscape. This conference was […]
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InvestorCOM held a user group session for eight of its mutual fund clients at the King Edward Hotel in Toronto. The half-day session was an opportunity for Publisher users to discuss and share best practices for InvestorCOM’s automated document composition solution when it comes to the creation of Fund Facts, MRFP’s, Financial Statements, Prospectus and […]
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