Events

Join us at an upcoming webinar or conference

Reg BI and the Future of Compliant Investment Recommendations

Broker-dealers have known about the pending Reg BI deadline since June 2019. While the Coronavirus pandemic and pending Reg BI lawsuits have created speed bumps, the main question remains: How can broker-dealers demonstrate they are acting in the best interest of retail clients when making investment recommendations? In this 45-minute webinar, industry experts from Morningstar, […]

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Webinar: Challenges and Best Practices for KYP Compliance

  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 those requirements are increasing. Sign up to hear industry experts from Assante Wealth Management, Manulife Securities, TD Wealth and InvestorCOM discuss the challenges and best […]

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Meeting Remote Compliance Challenges during COVID-19 and Beyond

  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 virtually to provide advice and service to their clients. With the Reg BI deadline fast approaching, firms now face a bigger challenge: meeting compliance with […]

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Reg BI – What “Good Faith” Compliance Means

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 efforts to ensure the principles of the regulation are in place. Tito Pombra from Adviser Compliance Consulting Inc., is an expert in good faith compliance. […]

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It’s a Wrap: Financial Services 2030

It’s a Wrap: Financial Services 2030

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 3 perspectives: Digitization & Technology Trends – how will existing and new technology change the landscape in 2030? The “new client” – the largest intergenerational wealth transfer […]

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Highlights from Client Focused Reform Discussion

Highlights from Client Focused Reform Discussion

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 and Legal Experts. The agenda of the discussion started with an update from the CSA, followed by a general discussion on KYC/KYP and concluded with […]

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Client Focused Reform Discussion – February 28, 2019

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 the major dealers (banks, insurance, and independent).  As a partner delivering compliance solutions, InvestorCOM has a history of working with industry leaders and creating innovative […]

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Highlights from “Bridging to a Digital Tomorrow”

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 a wide range of topics including the “Beauty of Discomfort”, Open Banking, how to launch a Digital FI, achieving 60% e-migration for client reporting, Digital […]

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InvestorCOM Conference – Recap

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 speakers commented on changing consumer behaviours; unlikely new competitors; FinTech; and, a changing regulatory landscape. Stay tuned for information on our 2018 conference! Conference Details […]

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InvestorCOM Customer Conference “Disruption in the Wealth Management Industry”

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 the disruptive forces in the marketplace. Our speakers commented on; changing consumer behaviours; unlikely new competitors; FinTech; and, a changing regulatory landscape. This conference was […]

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