Events

Join us at an upcoming webinar or conference

Client Focused Reforms & KYP: Day 2 and Beyond

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 deploying technology or meeting the requirements manually, while some have adopted a ‘wait and see’ approach. Join us on February 17  to hear industry experts […]

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Reg BI and PTE 2020-02 Compliance Priorities

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 it pertains to the Care Obligation and the requirement to assess reasonably available alternatives. Moreover, the DOL’s PTE 2020-02 and SEC have magnified the level […]

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NSCP National Conference 2021

National Society of Compliance Professionals (NSCP) National Conference

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 financial professions meet their regulatory requirements for Reg BI and the DOL’s PTE 2020-02. Alternatively, schedule a time to meet with Travis Champion, VP of […]

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Making Compliant Rollover Recommendations

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, 2021, will perhaps become the new industry standard going forward. Meet your rollover requirements with confidence. Access this on-demand webinar to hear our panel of […]

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Implementing KYP: Dealer & Advisor Case Studies

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 this journey, InvestorCOM met with more than 50 dealers and helped dozens meet their KYP requirements. Join us on October 6 at 1 pm ET […]

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SEC and DOL: Rollover Requirements

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 rollovers. While the SEC encourages documentation, the DOL makes documentation an explicit requirement of its proposed prohibited transaction exemption for fiduciary investment advice. Get ready […]

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Reg BI Exams – Reasonably Available Alternatives and Record Keeping

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 on-demand webinar, our panel of experts will take a deeper dive into a consistent and repeatable process for assessing costs and a reasonable range of […]

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Client Focused Reforms – Implementing KYP

ON-DEMAND WEBINAR With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting the remaining elements of the CFRs. Watch this 60-minute on-demand webinar to hear industry experts from Assante Wealth Management and BLG discuss approaches firms can take to meet their KYP obligation. The discussion will focus on: Practical […]

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Reg BI Exams – The Care Obligation

ON-DEMAND WEBINAR With a new SEC Chair sworn in and regulators conducting Regulation BI exams that go beyond ‘good-faith’ efforts, firms will be looking to adjust their practices to meet the principles of Reg BI and close any outstanding gaps related to the Care Obligation. Watch our On-Demand Webinar to hear industry leaders from Oyster […]

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Webinar: Client Focused Reforms and the KYP Challenge

The Client Focused Reforms (CFRs) introduces new Know Your Product (KYP) provisions for investment dealers and their representatives. In a recent wealth management industry survey, we found that the KYP obligations for dealers and advisors are a tangible implementation challenge for many. Watch our Webinar for MFDA dealers to hear industry leaders from Canada Life […]

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