[Toronto, March 19, 2026] – InvestorCOM, a leading provider of compliance technology for the wealth and retirement industry, has once again been recognized as a winner in the 2026 FinTech Breakthrough Awards, earning the prestigious “RegTech Innovation Award” for the second consecutive year, and the fourth time in five years.

This back-to-back recognition reinforces InvestorCOM’s position at the forefront of regulatory technology, as firms navigate an increasingly complex landscape shaped by the convergence of wealth and retirement advice, heightened regulatory scrutiny, and growing expectations for scalable, auditable compliance processes.

The FinTech Breakthrough Awards program, now in its 10th year, received more than 4,500 nominations from around the world, making this year’s selection process one of the most competitive to date. InvestorCOM’s continued recognition in the RegTech category highlights the company’s ability to deliver practical, technology-driven solutions that help firms operationalize compliance while supporting business growth.

Defining the Future of Compliance in a Converging Industry

As the wealth and retirement industries continue to converge, firms are facing a fundamental shift in how advice is delivered—and how it must be supervised.

From rollover recommendations to ongoing account monitoring, regulatory frameworks such as Reg BI and PTE 2020-02 have elevated the need for consistent documentation, supervisory oversight, and clear differentiation between education and recommendation.

InvestorCOM’s platform is designed to meet this moment.

By enabling firms to standardize processes, digitize workflows, and create defensible audit trails, InvestorCOM helps transform compliance from a reactive obligation into a structured, repeatable system that supports both regulatory alignment and advisor productivity.

Powering End-to-End Rollover Compliance

At the center of this innovation is InvestorCOM’s End-to-End Rollover Platform, which brings together key capabilities across the rollover lifecycle—from opportunity identification to documentation, supervision, and execution.

Through solutions such as:

• RolloverProspector – identifying actionable rollover opportunities
• RolloverAnalyzer – supporting compliant, documented recommendations
• PeerCompare Annuities – delivering comparative product insights
• RolloverTransfer – streamlining the transfer and execution process

InvestorCOM enables firms to operationalize one of the industry’s most significant growth opportunities while maintaining full alignment with regulatory expectations.

Compliance as a Scalable Growth Engine

What sets InvestorCOM apart is its focus on making compliance practical, scalable, and repeatable.

Rather than relying on fragmented processes or manual oversight, firms can implement standardized workflows that ensure:

• Consistent application of regulatory requirements
• Reduced supervisory burden
• Improved advisor efficiency
• Enhanced client transparency and trust

This approach reflects a broader industry shift—where compliance is no longer viewed as a constraint, but as a foundation for sustainable growth.

A Continued Commitment to Innovation

“Winning the FinTech Breakthrough Award for RegTech Innovation for a second consecutive year is an incredible honor,” said Dave Reeve, CEO at InvestorCOM. “It reflects the progress our clients are making as they modernize compliance and embrace a more structured, scalable approach to regulatory requirements.”

“As the industry continues to evolve, particularly with the convergence of wealth and retirement, our focus remains on delivering technology that simplifies complexity—helping firms meet their obligations while unlocking new opportunities for growth.”

Building on Industry Recognition

This latest award builds on InvestorCOM’s growing list of industry accolades and reinforces its leadership in the wealth industry.

As firms continue to navigate regulatory change, competitive pressures, and shifting client expectations, InvestorCOM remains committed to delivering solutions that are not only compliant—but also intuitive, efficient, and aligned with the future of advice.

About InvestorCOM
InvestorCOM is a leading provider of compliance technology for the wealth and retirement industry. Its platform helps financial institutions operationalize regulatory requirements through structured workflows, supervisory oversight, and digital audit trails—empowering firms to achieve compliance at scale while supporting advisor growth.