Events

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

Regulation Best Interest Case Studies

Events

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

Events

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

Events

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 2022

Events

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

Events

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

Events

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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Reg BI Enforcement, PTE 2020-02 Day 2 and What’s Next

Events

On-Demand Webinar With PTE 2020-02 in effect, firms and financial representatives have taken steps to achieve varying states of compliance.  With FINRA ramping up Reg BI examinations and the SEC focusing on Reasonably Available Alternatives, many firms are asking how best to prepare. Watch this on-demand webinar to hear industry experts David Porteous, Partner at […]

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Envestnet Advisor Summit 2022

Events

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 firm’s regulatory challenges and how to turn compliance into an opportunity.    

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