Events

SIFMA C&L Regional Seminar Charlotte

Events

SIFMA C&L Regional Seminars gather compliance and legal professionals working in the financial services industry to share best practices and guidance in the increasingly complex and changing regulatory and compliance arenas. Ritz-Carlton, Charlotte, NC | September 11, 2023 Learn more and register. Meet Randy Barnes, Director of Product and Sales Engineering

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ComplyConnect Conference & Expo

Events

Education. Training. Industry insight. It all comes together at the COMPLYConnect Conference and Expo. Take a front row seat to the latest news and trends shaping compliance, risk and governance, and hear direct from renowned industry leaders and regulatory authorities as they discuss the future of compliance and regulation. Experience unparalleled access to the resources […]

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Fearless Investing Summit

Events

Hosted by Nitrogen, the makers of Riskalyze, join 1,000+ wealth management professionals this fall at the #1 resort in Florida for three days of learning, connection, and growth. The Fearless Investing Summit is where financial advisors network with the fastest-growing firms in the country, learn how to scale their business, and join a community empowering […]

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NSCP 2023

Events

Meet InvestorCOM at the 2023 NSCP National Conference, on Oct 16-18 2023 at the Omni Dallas in Dallas, TX. The only conference that’s “For Compliance, By Compliance.” Meet Bill Donnell, VP Sales – Book now Meet Randy Barnes, Director of Product and Sales Engineering Meet Parham Nasseri, VP of Product and Regulatory Strategy – Book […]

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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