InvestorCOM Wins Best Wealth Management Regulatory Solution Award

InvestorCOM secures its second CRTA win in three years.

InvestorCOM, a leading regulatory software provider to the wealth management industry, announced its platform was named the Best Wealth Management Regulatory Solution winner in the 3rd Annual Canadian RegTech Awards (CRTA).

Canadian RegTech Awards 2017

The Best Wealth Management Regulatory Solution award recognizes a solution used by wealth management firms to manage and meet regulatory compliance obligations, such as Know Your Product, Product Suitability, and Conflicts of Interest. A panel of nine independent judges – reputed veterans from the finance, wealth and fintech industries – evaluated the nominations to choose winners this year. InvestorCOM has previously won this honour in 2021.

Expressing his gratitude to the CRTA for the recognition, InvestorCOM CEO David Reeve commented,

“Thank you to CRTA for pulling our community together and, of course, for recognizing InvestorCOM for this award. We are now supporting 20,000 advisors across North America on our presale compliance platform, with great growth prospects ahead”, before adding, “While we may compete with others in this category, our collective competitor is non-action by the industry or spreadsheets and frustration, so it’s wonderful to have a collective voice to promote tech solutions to some of the most challenging regulatory issues.”


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

  • Use PeerCompare to assess reasonably available product alternatives, make compliant investment recommendations, and digitize the document disclosure and recordkeeping process.
  • Use RolloverAnalyzer to recommend, document, and disclose rollovers.
  • Use AccountCompare for making best-interest account-type recommendations.
  • Use ShelfMonitor to assess, monitor and manage the dealer and advisor product shelf for material change.
  • Use ShelfAnalyzer to assess the competitiveness of the products on your shelf.

Find the complete set of winners here:

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