InvestorCOM Wins 2024 WealthTech Americas Award for Innovative Compliance RegTech Product

InvestorCOM’s innovative technology secures its second WealthTech Americas Award win in two years for helping financial professionals assess, document and disclose best interest investment and rollover recommendations.

Toronto, ON, February 22, 2024 – InvestorCOM, a leading regulatory software provider to the wealth management industry, today announced that its compliance platform was named the winner of the Innovative Compliance/RegTech Product category by the WealthTech Americas Awards.

Sponsored by WealthBriefing, a publication of ClearView Financial Media, the annual WealthTech Americas Awards program recognizes the most innovative and exceptional firms, teams and individuals. The awards have been designed to showcase outstanding organisations which the prestigious panel of independent judges deemed to have ‘demonstrated innovation and excellence during the last year.’

InvestorCOM’s technology was recognized a second year in a row for providing financial professionals with an innovative solution to compliantly assess, document and disclose best interest investment and rollover recommendations as required by Reg BI’s Care Obligation and the DOL’s PTE 2020-02. This not only saves significant time for wealth management professionals but also reduces the risks associated with compliance breaches.

“We’re delighted that our compliance technology has been recognized a second year in a row for the impact it’s making to the wealth industry,” said David Reeve, CEO at InvestorCOM. “We are now supporting 20,000 advisors across North America on our presale compliance platform, which reflects the value our software provides firms and financial professionals in meeting their regulatory obligations.”

Stephen Harris, ClearView Financial Media’s CEO, and publisher of WealthBriefing, was first to extend his congratulations to all winners and highly commended companies. “Every winning entrant has been subjected to a rigorous and independent judging process and should be rightly proud of the success they have achieved this year. I offer my congratulations and best wishes for the future.”

InvestorCOM’s compliance platform includes several innovative applications to help firms and financial professionals meet their regulatory obligations for Regulation Best Interest, PTE 2020-02 and the Client Focused Reforms:

  1. PeerCompare for assessing reasonably available product alternatives, making compliant investment recommendations and digitizing the document disclosure and recordkeeping process.
  2. RolloverAnalyzer offers a single workflow for recommending, documenting and disclosing rollovers.
  3. AccountCompare for making best interest advisory and brokerage account-type recommendations
  4. ShelfMonitor for assessing, monitoring and managing the dealer’s and advisor’s product shelf for material change.
  5. ShelfAnalyzer for assessing the competitiveness of the products on your shelf.

View the complete list of 2024 winners and highly commended companies at this link.

About InvestorCOM Inc.
Since 1992, InvestorCOM has been providing regulatory compliance software and communications solutions to wealth managers, asset managers, and insurers. Our high value, intuitive solutions eliminate compliance risk for our clients and foster better financial decisions. For more information, visit, email or call 1-800-361-9494.

About ClearView Financial Media Ltd (“ClearView”)
ClearView Financial Media was founded by Chief Executive, Stephen Harris in 2004, to provide high quality ‘need to know’ information for the discerning private client community. London-based, but with a truly global focus, ClearView publishes the WealthBriefing group of newswires, along with research reports and newsletters, while also running a pan-global thought-leadership events and awards programme.

For more information:

Grace Bryan
Marketing Director
InvestorCOM Inc.
Tel: 1-805-807-6084