News

RIA in a Box Partners with InvestorCOM to Help Advisory Firms Meet the Department of Labor’s PTE 2020-02 Rollover Requirements

News May 25, 2022

Registered investment advisers can now make compliant rollover recommendations using InvestorCOM RolloverAnalyzer™ Cleveland, Ohio, May 25, 2022 – RIA in a Box, a leading Software-as-a-Service (SaaS) provider of compliance and operational software to the wealth management industry, has announced a partnership with InvestorCOM, a leading provider of regulatory compliance software for the financial services industry. […]

RFG Advisory Turns to InvestorCOM to Meet Rollover Requirements

News May 9, 2022

Award-winning hybrid RIA to implement InvestorCOM’s RolloverAnalyzer to assess, disclose and document best interest recommendations. Toronto, ON, May 9, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that RFG Advisory, a hybrid RIA for independent advisors, will use InvestorCOM’s RolloverAnalyzer application to meet the SEC’s Regulation Best […]

Davenport & Company LLC Selects InvestorCOM to Meet Reg BI and PTE 2020-02 Regulatory Requirements

News April 21, 2022

Wealth management firm using InvestorCOM to digitize the assessment of reasonably available alternative product recommendations and best interest rollover recommendations. Toronto, ON, April 21, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that Davenport & Company LLC, a leading wealth management and financial advisory firm, is using […]

AISG Chooses InvestorCOM to Digitize Rollover Recommendation Process

American Independent Securities Group Chooses InvestorCOM to Digitize Rollover Recommendation Process

News April 14, 2022

AISG will use InvestorCOM RolloverAnalyzer to make best interest rollover recommendations in compliance with PTE 2020-02. Toronto, ON, April 14, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that American Independent Securities Group LLC (AISG), an independent broker-dealer, has selected InvestorCOM to digitize their rollover recommendation process […]

InvestorCOM Top Employer Canada SME 2022

InvestorCOM Named One of Canada’s Top Small & Medium Employers for 2022

News April 5, 2022

For the fourth time, InvestorCOM is recognized as one of Canada’s Top SMEs. Toronto, ON, April 5, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced the company has been named one of Canada’s Top Small & Medium Employers (SMEs) for 2022. This win represents the fourth time InvestorCOM […]

InvestorCOM Named “Best RegTech Platform” in 2022 FinTech Breakthrough Awards Program

News March 17, 2022

International Awards Program Recognizes Outstanding Financial Technology Products and Companies TORONTO – March 17, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that it has been named “Best RegTech Platform” in the sixth annual FinTech Breakthrough Awards program conducted by FinTech Breakthrough, an independent market intelligence organization that […]

InvestorCOM Recognized as a Top Employer for the 5th Year in a Row 2022

InvestorCOM Recognized as a Top Employer for 2022

News January 11, 2022

InvestorCOM is named a Top Regional Employer in the Hamilton-Niagara Region for the fifth year in a row. Brantford, ON, January 11, 2022 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced the company has been named one of Hamilton-Niagara’s Top Employers for 2022. This marks InvestorCOM’s fifth year winning […]

Wealth Firms Use InvestorCOM to Meet KYP Requirements for the Client Focused Reforms

News November 23, 2021

Firms use InvestorCOM’s compliance platform to satisfy KYP requirements: assess and monitor product shelf for material change and compare and document reasonable product alternatives. Toronto, ON, November 23, 2021 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that several Canadian investment dealers, with close to $1 Trillion of assets […]

InvestorCOM Recognized as Best Wealth Management Regulatory Solution for the Client Focused Reforms

News November 16, 2021

Canadian RegTech Award recognizes InvestorCOM’s significant achievement and innovation in the advancement of regulatory technology. Toronto, ON, November 16, 2021 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that its compliance platform for meeting the Know Your Product (KYP) requirements of the Client Focused Reforms (CFRs) has been recognized […]

Leading Canadian Insurer Implements InvestorCOM DOX to Digitize Marketing Content and Delivery Process

News October 18, 2021

Company saves thousands of hours per year using InvestorCOM’s DOX platform. Toronto, ON, October 18, 2021 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced a new subscription license agreement with one of Canada’s top insurance providers. Through this agreement, the company will use InvestorCOM DOX to centralize and digitize […]

Read the latest news releases and media coverage