News

It’s becoming more important for advisors to leverage technology to maintain an audit trail showing compliance that you’re doing the right thing

“The Internet of Things” (IoT) is the name given to the growing phenomenon of interconnectedness between regular household devices, brought on by advances in computing technology and the evolution of the Internet. As more and more devices start talking to each other and, in turn, talking to us, our communication patterns in everyday life will […]

Dealers and fund companies must make a concerted effort to drive clients to digital channels Isaac Newton’s first law of motion states that every object will remain at rest or move in a straight line unless compelled to change its state by the action of an external force. This is normally taken as the definition […]

The following features were released to the InvestorPOS Delivery™ solution on April 27th, 2015. Access and Search ETF’s Advisor BCC email English and French Toggle Compliance Reporting Update View Full PDF

The financial services sector is undergoing a seismic shift. On the one hand, more stringent regulatory requirements, such as the second phase of the client relationship model and point-of-sale (POS) disclosure, are creating significant and immediate compliance challenges for traditional mutual fund companies and financial advisors. On the other hand, new digitally-savvy market entrants are […]

Financial advisors need to adopt and leverage new technology strategies to reach a younger audience   Young adults aren’t saving their money, and while governments may be trying to educate students by integrating financial literacy into the school curriculum, the financial planning process remains a fairly dry subject for most. In turn, financial advisors need […]

December 12, 2014, TORONTO – The Canadian Securities Administrators (CSA) released the final rule amendments on Point of Sale Disclosure for Mutual Funds: Pre-Sale Delivery of Fund Facts (POS 3) on December 11, 2014. The rule can be found on the Ontario Securities Commission’s web site or by clicking here. Click on the button below for an […]

The CSA published their final amendments to the Stage 3 POS Fund Facts Pre-Sale Delivery rule yesterday. This is the final stage of the POS regulation, tabled more than ten years ago in a Joint Forum framework in 2003. Please click here to see the final rule.

December 2, 2014, TORONTO – InvestorPOS announced today that as part of its brand evolution it has changed its company name to InvestorCOM. InvestorCOM is the same company that in 2010 introduced its innovative Point of Sale (POS) compliance solutions under the InvestorPOS brand for asset managers, dealers and their advisors in the mutual fund […]

Sending material to clients before they make a decision could help improve disclosure to retail investors, but may complicate advisors’ marketing efforts   Financial advisors spend much of their time in meetings, emailing, or on the phone in order to serve existing clients and attract new prospects. Many of these marketing communications are informal and […]