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 […]
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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 […]
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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 […]
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ON-DEMAND WEBINAR It’s been just over a month since Client Focused Reforms (CFR) came into effect. In our conversations with dealers, the vast majority have met the KYP requirements by […]
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ON-DEMAND WEBINAR 2022 will likely bring an abundance of compliance priorities for wealth firms and financial professionals. Much has been reported about the limited adoption of Reg BI, specifically as […]
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InvestorCOM will be exhibiting at the NSCP National Conference, on November 8-10, 2021. Drop by Booth 39 to meet us and to learn how we can help your firm and […]
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ON-DEMAND WEBINAR The SEC and DOL are continuing to focus on rollover recommendations and their impact on investors. The DOL’s Fiduciary Rule and PTE 2020-02 requirements, enforceable on December 21, […]
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ON-DEMAND WEBINAR With less than 4 months remaining on the Client Focused Reforms (CFR) journey, investment dealers and advisors will be taking final steps to meet their KYP requirements. Throughout […]
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ON-DEMAND WEBINAR The DOL and the SEC are increasingly focusing on rollover recommendations and their impact on investors. The DOL’s PTE 2020-02 expands the definition of fiduciary advice when recommending […]
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ON-DEMAND WEBINAR With Reg BI examinations and enforcement actions expected to increase in 2021, firms are looking to meet the Care Obligation’s requirement of assessing “reasonably available alternatives”. In this […]
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