Dealers need to monitor the ever-changing landscape of investment products on their shelf. However satisfying current KYP requirements in a product universe with thousands of changes every week is difficult. And […]
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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 […]
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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 […]
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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 […]
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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 […]
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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 […]
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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 […]
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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 […]
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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 […]
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