Generated by All in One SEO v4.9.7.2, this is an llms.txt file, used by LLMs to index the site.

# InvestorCOM

Regulatory Compliance & Communications Solutions for Wealth and Asset Managers

## Sitemaps

- [XML Sitemap](https://investorcom.com/sitemap.xml): Contains all public & indexable URLs for this website.

## Posts

- [Stop Buying Speed. Start Building Evidence.](https://investorcom.com/stop-buying-speed-start-building-evidence/) - Wealth firms have spent years trying to make annuity transactions faster. Digital applications, automated workflows and streamlined processing have all helped reduce friction. But speed is not the same as defensibility. The greater risk often sits earlier in the process: Can the firm demonstrate why the recommendation was appropriate for that client? As Rob Dearman,
- [Booming Annuity Sales Put Advisors In Regulators' Crosshairs](https://investorcom.com/booming-annuity-sales-put-advisors-in-regulators-crosshairs/) - This article first appeared on Financial Advisor Annuity sales are booming. So are regulators’ questions about how and why advisors recommend them. With U.S. annuity sales topping $107 billion during the first quarter of 2026, compliance experts say the biggest risk is no longer the products themselves but whether advisors can prove each recommendation served
- [Product Pulse: Compliance Dashboard](https://investorcom.com/product-pulse-compliance-dashboard/) - Firm-Wide Rollover Oversight Without the Complexity Every rollover recommendation is unique to the investor. For compliance teams, however, the challenge is not reviewing a single recommendation. It is maintaining consistent oversight across hundreds or thousands of recommendations made throughout the firm. InvestorCOM’s Compliance Dashboard gives teams a clear, firm-wide view of rollover activity. It brings
- [Annuities: Balancing Growth and Compliance](https://investorcom.com/annuities-balancing-growth-and-compliance/) - The annuity industry is experiencing more than another temporary sales cycle. Previous periods of growth were usually driven by a single factor. In the 2000s, product features and income riders fuelled demand. More recently, attractive interest rates drove money into fixed annuities. This time, the market has continued growing even as the underlying drivers have
- [Annuities at the Crossroads of Growth and Compliance](https://investorcom.com/annuities-at-the-crossroads-of-growth-and-compliance/) - Unlocking annuity growth with stronger recommendation workflows On-demand Webinar The annuity market is no longer experiencing a temporary surge driven by favorable interest rates. Its growth has become structural. Even as rates began to fall, annuity demand continued. It simply shifted toward products designed to offer protected growth, including registered index-linked annuities and fixed indexed
- [Meet PeerCompare™ Annuities](https://investorcom.com/meet-peercompare-annuities/) - Bringing Structure, Suitability, and Scale to Annuity Recommendations Annuity recommendations are rarely simple. Each product has its own mechanics. Each rider changes the economics. Each surrender schedule affects liquidity. Each client goal changes what “best interest” should mean. For wealth firms, this creates a difficult challenge. Advisors need to compare complex products with confidence.
- [The Simplest Framework for Defensible Rollover Advice](https://investorcom.com/the-simplest-framework-for-defensible-rollover-advice/) - The conversation around rollover advice has become increasingly complicated. Rules shift. Interpretations evolve. Standards overlap. Firms debate whether a recommendation falls under Reg BI, SEC fiduciary obligations, or PTE 2020-02. Advisors are left navigating a landscape filled with technical distinctions and regulatory ambiguity. And yet, beneath all of that complexity, the foundation of a defensible
- [FINRA’s Scrutiny of Variable Annuities Ramps up](https://investorcom.com/finras-scrutiny-of-variable-annuities-ramps-up/) - By the InvestorCOM Team | ~7 min read Variable annuities have always sat near the top of FINRA's exam priority list, but recent guidance and enforcement activity make clear the bar has moved. As Norton Rose Fulbright recently observed, FINRA has "upped regulatory scrutiny" of variable annuities, with examiners zeroing in on exchanges, RILA recommendations,
- [Navigating Annuity Rollovers Compliantly](https://investorcom.com/navigating-annuity-rollovers-compliantly/) - The Retirement Income Unlock For decades, the retirement industry was built around a single objective: accumulation. Investors were encouraged to save more, contribute consistently, and remain invested. Advisors measured success by portfolio growth. Product innovation focused on helping assets compound over time. Today, a different question is emerging. Download Webinar Slides and Poll Results: How
- [Back at FINRA: Reg BI Is Still Filling the Room](https://investorcom.com/back-at-finra-reg-bi-is-still-filling-the-room/) - It was great to be back at the FINRA Annual Conference, reconnecting with industry colleagues and making connections with new faces. The conversations picked up right where they should: what firms are seeing in the field, where the process still gets messy, and how teams are continuing to improve their Reg BI and rollover workflows.
- [Investorcom and IRALOGIX Partner To Turn Compliance into a Growth Engine for Holistic Retirement Advice](https://investorcom.com/investorcom-and-iralogix-partner-to-turn-compliance-into-a-growth-engine-for-holistic-retirement-advice/) - Complementary Platforms Empower Financial Professionals to Capture the Trillion-Dollar Rollover Opportunity by Transforming Regulatory Obligations into Client Growth and Better Retirement Outcomes Toronto and Pittsburgh, PA – May 12, 2026 – InvestorCOM, an award-winning compliant growth partner to leading wealth managers, and IRALOGIX, the leading fintech provider of cloud-native IRA recordkeeping solutions, today announced a
- [Product Pulse - Intelligent Plan Lookup in RolloverAnalyzer™](https://investorcom.com/product-pulse-intelligent-plan-lookup-in-rolloveranalyzer/) - Every second an advisor spends hunting for the “right” plan name is a second not spent with the client. A missing ampersand. A different filing format. An abbreviated company name. Small friction points — but they slow down rollover workflows, create frustration, and impact advisor efficiency at scale. That’s why we enhanced Intelligent Plan Lookup
- [Bridging the Gap Between Investor Anxiety and Advisor Guidance](https://investorcom.com/bridging-the-gap-between-investor-anxiety-and-advisor-guidance/) - How advisors can turn retirement concerns into structured, compliant conversations Executive Summary Retirement anxiety is widespread among investors, yet most never engage an advisor. Closing that gap, supported by the right data, workflows, and compliance solutions is one of the clearest paths to better retirement outcomes. The Retirement Confidence Gap U.S. investors face
- [The DOL Rule Is "Dead." Best Interest Analysis Is Anything But.](https://investorcom.com/the-dol-rule-is-dead-best-interest-analysis-is-anything-but/) - When the latest DOL fiduciary rule was vacated, a familiar narrative took hold: with the regulatory pressure off, firms would dial back the rigor of their rollover process. Less analysis. Lighter documentation. A return to “good enough.” The data tells a very different story. What we’re seeing in the platform Across InvestorCOM’s rollover analytics platform,
- [The New Reality of Rollover Advice](https://investorcom.com/the-new-reality-of-rollover-advice/) - Clarity in an Era of Ambiguity For wealth firms, the conversation around rollover advice has entered a new phase—defined less by sweeping new regulatory expectations and more by persistent change and ambiguity. The vacating of the Department of Labor’s Retirement Security Rule did not eliminate fiduciary responsibility. Instead, it exposed a more complex reality: multiple
- [Rollover Advice Compliance Checklist](https://investorcom.com/rollover-compliance-checklist/) - Impact of DOL’s Vacatur on Rollover Advice This practical checklist to helps you navigate rollover advice across Reg BI, the 5-Part Test, and PTE 2020-02 — without ambiguity. What You’ll Get A structured framework to make rollover advice defensible and repeatable: Align with today’s regulatory landscape Compare plan vs. IRA across key factors Document rationale
- [A 'Dead' DOL Rule Doesn't Mean Advisors Can Relax, Experts Warn](https://investorcom.com/a-dead-dol-rule-doesnt-mean-advisors-can-relax-experts-warn/) - By Tracey Longo | This article first appeared in the Financial Advisor magazine The Department of Labor's latest fiduciary rule proposal may be dead, but that doesn't mean advisors can ignore compliance, experts warn. Federal courts and the new leadership at the DOL may have wiped away the overhaul, but for wealth managers and advisors, the
- [The Metric That Matters Most: Utilization](https://investorcom.com/the-metric-that-matters-most-utilization/) - A few years ago, we started dabbling in a question that sounds simple, until you try to answer it honestly. What metric best reflects whether our software is delivering real value? John Doerr’s Measure What Matters reinforces a powerful idea: focus on what actually drives outcomes. That framing pushed us toward a related question, not
- [FAQ: DOL Fiduciary Rule Reset - What Advisors Need to Know](https://investorcom.com/faq-dol-fiduciary-rule-reset-what-advisors-need-to-know/) - Recent headlines about the rollback of the Biden-era Retirement Security Rule have left many wealth and retirement professionals asking a simple question: what actually matters now? To help cut through the noise, we’ve put together a concise FAQ. Click on a question below to explore further. What happened with the 2024 Fiduciary Rule? Within the
- [Technology Is the Bridge Between Retirement and Wealth Advice](https://investorcom.com/technology-is-the-bridge-between-retirement-and-wealth-advice/) - As retirement assets grow and client expectations evolve, advisors are increasingly expected to deliver holistic financial guidance that spans both workplace retirement plans and personal wealth strategies. This shift is driving what many industry leaders now call the convergence of wealth and retirement advice. But convergence does not happen simply because advisors want it to.
- [InvestorCOM Wins 2026 FinTech Breakthrough RegTech Innovation Award for Second Consecutive Year](https://investorcom.com/investorcom-wins-2026-fintech-breakthrough-regtech-innovation-award-for-second-consecutive-year/) - [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
- [What’s Really Holding Firms Back from Capturing the Convergence Opportunity](https://investorcom.com/whats-really-holding-firms-back-from-capturing-the-convergence-opportunity/) - As retirement assets continue to grow and financial planning becomes more complex, the traditional separation between retirement advice and wealth management is fading. Advisors are increasingly expected to guide clients across both domains – from workplace retirement plans to long-term personal wealth strategies. This shift has given rise to what many now describe as the
- [The Biden Era Retirement Security Rule Is Gone. PTE 2020-02 Still Defines the Compliance Reality.](https://investorcom.com/the-biden-era-retirement-security-rule-is-gone-pte-2020-02-still-defines-the-compliance-reality/) - Recent headlines declaring the death of the Biden-era Retirement Security rule have left many wealth and retirement professionals asking the same question: What actually changed? The answer is simpler than the headlines suggest. A federal judge has formally vacated the Department of Labor’s 2024 Retirement Security Rule — the Biden administration’s attempt to expand fiduciary
- [Why Rollovers Are the Bridge Between Retirement and Wealth Advice](https://investorcom.com/why-rollovers-are-the-bridge-between-retirement-and-wealth-advice/) - One of the most significant structural shifts happening in the wealth industry today is the convergence of retirement planning and wealth management. For decades, these two domains operated independently. Retirement advisors focused on workplace plans, while wealth advisors focused on personal portfolios and long-term financial planning. But as retirement assets grow and client expectations evolve,
- [The Convergence Era Is Already Here - But Most Firms Are Only Partway There](https://investorcom.com/the-convergence-era-is-already-here-but-most-firms-are-only-partway-there/) - For decades, wealth management and retirement planning evolved along parallel tracks. Retirement plan advisors focused on plan design, fiduciary oversight, and participant education. Wealth advisors focused on portfolio construction, financial planning, and long-term client relationships. Today, that separation is dissolving. The industry is entering what many are calling the Convergence Era — a structural shift
- [Rollovers - Increasing Advisor Participation](https://investorcom.com/rollovers-increasing-advisor-participation/) - The Rollover Landscape Rollovers represent the single largest organic growth opportunity in the wealth industry now and for decades to come. Demographic trends, investors’ desire to consolidate assets and wealth firms’ growing appetite to pursue rollovers are driving this opportunity, estimated to represent $1T in asset movement in 2025.1 However, digging into this data highlights
- [The Battle For Rollovers Intensifies As Wealth And Retirement Converge](https://investorcom.com/the-battle-for-rollovers-intensifies-as-wealth-and-retirement-converge/) - By Tracey Longo | This article first appeared in the Financial Advisor magazine The race to capture rollover assets is accelerating as trillions of dollars move from workplace retirement plans into managed accounts, but the lure of these assets is sometimes offset by the accompanying pitfalls of regulatory compliance. While rollovers have always been
- [The Great Convergence: Bridging Wealth & Retirement](https://investorcom.com/the-great-convergence-bridging-wealth-retirement/) - On-Demand Webinar The convergence of wealth management and retirement planning is reshaping the financial services industry. As retirement plan advisors (RPAs) expand into wealth, and wealth managers target retirement assets, rollovers have emerged as the key battleground, representing a trillion dollars annually in addressable assets. This seismic shift brings both opportunity and regulatory scrutiny. Growth focused firms are equipping their advisors to deliver holistic advice while
- [Bridging Wealth & Retirement - Webinar Takeaway](https://investorcom.com/bridging-wealth-retirement-webinar-takeaway/) - The convergence of wealth management and retirement planning is reshaping advisor growth. With $1T+ in annual rollover activity, $3.1T in retirement assets held with previous employers, and an average IRA rollover of $220K, rollovers represent one of the largest organic growth opportunities in financial services. This isn’t incremental. It’s structural asset movement. Why It Matters Demographic
- [What the CFR Conversation Has Made Clear: Execution Is Now the Test](https://investorcom.com/what-the-cfr-conversation-has-made-clear-execution-is-now-the-test/) - The conversation around the Client Focus Reforms has moved decisively beyond interpretation. It is abundantly clear that there is little uncertainty about regulatory intent; instead, there is a growing recognition that the real challenge lies in execution — how firms operationalize the requirements in a way that is consistent, defensible, and sustainable over time. Experts
- [Navigating Regulatory Expectations Under CFRs](https://investorcom.com/navigating-regulatory-expectations-under-cfrs/) - On-Demand Webinar Bridging the Compliance Gap: Meeting Regulator Expectations Under CFRs The CSA and CIRO have issued new guidance under Staff Notice 31-368, highlighting persistent compliance gaps in how firms are implementing the Client-Focused Reforms (CFRs) — particularly around Know Your Product (KYP) and the assessment of a Reasonable Range of Alternatives. InvestorCOM hosted leading
- [Product Pulse: Meet The New Peer Compare](https://investorcom.com/product-pulse-meet-the-new-peer-compare/) - A Smarter Way to Deliver Best-Interest Recommendations Peer Compare has entered its next chapter — marking a major evolution in how advisors deliver best-interest product recommendations at scale. This latest release is designed to help firms strengthen trust, improve consistency, and streamline oversight, all while giving advisors a faster, more intuitive way to engage investors.
- [InvestorCOM Integrates Manifest to Remove the Biggest Bottleneck in Rollovers: The Transfer](https://investorcom.com/investorcom-integrates-manifest-to-remove-the-biggest-bottleneck-in-rollovers-the-transfer/) - New Partnership with Manifest fuels industry-first, compliant rollover experience for advisors. InvestorCOM is pleased to announce a strategic partnership with Manifest, the industry leader in Rollover fund transfers. This partnership supports wealth firms as the compliance-first bridge between wealth management and retirement planning. Manifest’s technology is integrated into InvestorCOM’s Rollover platform, simplifying and accelerating the movement of funds from 401(k)s to
- [FINRA’s Annuity Fines: The Reg BI Signal Firms Can’t Ignore](https://investorcom.com/finras-annuity-fines-the-reg-bi-signal-firms-cant-ignore/) - For the first time, FINRA put Annuities squarely in the regulatory spotlight. “Many of the recent FINRA enforcement actions involving sales-practice and supervisory failures have centered on variable annuities and exchange recommendations—a reflection of the increased scrutiny outlined in FINRA’s 2025 Oversight Report.” FINRA In its 2025 Annual Regulatory Oversight Report, FINRA elevated annuities to a standalone focus area, sending
- [Why PTE 2020-02 Remains in Effect](https://investorcom.com/why-pte-2020-02-remains-in-effect/) - There has been confusion around the status of PTE 2020-02 due to the existence of two versions issued under different administrations. However, when the regulatory mechanics are properly understood, the conclusion is clear: PTE 2020-02 will remain in effect and required for rollover recommendations. Two Versions of PTE 2020-02 Original PTE 2020-02 (Trump Administration, 2020): This exemption established the
- [InvestorCOM Partners with  Designed Wealth Management to Strengthen Advisor Compliance and Client Confidence](https://investorcom.com/investorcom-partners-with-designed-wealth-management-to-strengthen-advisor-compliance-and-client-confidence/) - InvestorCOM is pleased to announce a new partnership with Designed Wealth Management, a Canada-based advisory firm recognized for its highly personalized approach to financial planning and its commitment to principled, client-first advice. Both organizations share a clear belief: when compliance is simple, data-driven, and integrated into everyday workflows, advisors deliver better outcomes with greater confidence.
- [Regulatory Expectations Are Rising: Success Under CFR’s KYP and the Reasonable Range of Alternatives Requirements](https://investorcom.com/regulatory-expectations-are-rising-success-under-cfrs-kyp-and-the-reasonable-range-of-alternatives-requirements/) - On December 10, 2025, the Canadian Securities Administrators (CSA) and the Canadian Investment Regulatory Organization (CIRO) released the findings of their Phase 2 review of Client Focused Reforms (CFRs). This joint report focused on three core areas: Know Your Product (KYP), suitability determination, and the need to assess a “reasonable range of alternatives” when making
- [FINRA's 2026 Oversight Report: Communication and Sales Practices](https://investorcom.com/finras-2026-oversight-report-communication-and-sales-practices/) - The 2026 FINRA Annual Regulatory Oversight Report offers insight into the focus areas for the year ahead. The report addresses critical compliance issues under Regulation Best Interest (Reg BI), Form CRS, and recommendations involving annuities, rollovers, and account types. The findings emphasize the need for firms to formalize how they assess costs, evaluate reasonably available alternatives, deliver disclosures, and retain proper
- [2026 Compliance Readiness: Expect More, Prepare Smarter](https://investorcom.com/webinar-2026-compliance-readiness/) - The Convergence Era: How Compliance, Wealth, and Retirement Planning Are Reshaping the Future of Advice in 2026 The Industry Is Entering Its Most Transformative Convergence Yet Wealth management, retirement advice, and compliance have traditionally operated in adjacent but separate lanes. That separation is disappearing. In 2026, firms are entering a convergence era – where regulatory
- [2026 Compliance Checklist for Wealth, Retirement & Advisory Firms](https://investorcom.com/2026-compliance-checklist-for-wealth-retirement-advisory-firms/) - Expect More. Prepare Smarter. Stay Ahead. As regulatory expectations intensify across wealth and retirement, firms are under pressure to demonstrate stronger oversight, clearer disclosures, and more consistent, data-driven decision-making. The 2026 Compliance Readiness Checklist distills emerging priorities from the SEC, DOL, FINRA, and industry conversations—helping compliance teams focus on what matters most. This practical guide
- [Navigating the SEC’s 2026 Examination Priorities: A Roadmap for Broker-Dealers and Investment Advisers](https://investorcom.com/navigating-the-secs-2026-examination-priorities-a-roadmap-for-broker-dealers-and-investment-advisers/) - As the financial services industry braces for heightened supervisory scrutiny, the SEC’s Division of Examinations (“the Division”) released its Fiscal Year 2026 Examination Priorities, a clear signal of where attention will be focused. Two themes stand out for retail facing firms: Retail sales practices of broker-dealers (especially around account, product and rollover recommendations) and
- [Product Pulse: Scaling Compliant Annuity Recommendations with PeerCompare Annuities](https://investorcom.com/product-pulse-scaling-compliant-annuity-recommendations-with-peercompare-annuities/) - A Growing Market – and a Growing Responsibility A generation of retirees is redefining what it means to plan for income and stability. As demand for annuities and defined retirement outcomes continues to rise, so does regulatory attention on this complex and growing market. Advisors and firms are navigating evolving suitability, exchange, and best-interest requirements
- [Advancing Regulatory Agility in Canada: Key Takeaways from the 2025 CRTA RegTech Conference](https://investorcom.com/advancing-regulatory-agility-in-canada-key-takeaways-from-the-2025-crta-regtech-conference/) - This week, members of the InvestorCOM team attended the Achieving Regulatory Agility – Innovating Canada’s Future conference, hosted by the Canadian Regulatory Technology Association (CRTA). The event brought together leaders from regulatory bodies, financial institutions, and the technology community to discuss how Canada can navigate an increasingly complex landscape of regulatory change, emerging risks, and accelerated AI
- [Navigating Uncertainty: Key Takeaways from the 2025 NSCP Annual Conference](https://investorcom.com/navigating-uncertainty-key-takeaways-from-the-2025-nscp-annual-conference/) - The 2025 NSCP National Conference gathered compliance professionals from across the industry to discuss one persistent truth – enforcement and examinations have not gone away. Even amidst shifting political priorities and administrative transitions, regulators remain focused on protecting investors, ensuring transparency, and holding firms accountable. While the tone of enforcement may evolve, the expectation of
- [InvestorCOM Partners with Snowden Lane Partners to Advance Compliance Excellence](https://investorcom.com/investorcom-partners-with-snowden-lane-partners-to-advance-compliance-excellence/) - InvestorCOM is proud to announce its partnership with Snowden Lane Partners, one of the fastest-growing hybrid independent wealth advisory firms in the U.S. This collaboration reinforces a shared commitment to empowering advisors with modern compliance technology and supporting firms in meeting evolving regulatory standards such as Regulation Best Interest (Reg BI) and the Department of
- [The Future of Financial Advice Is Integrated](https://investorcom.com/the-future-of-financial-advice-is-integrated/) - Wealth, Retirement, and Rollover Innovation Are Powering the Next Era of Advisor Growth Across the wealth and retirement landscape, one message is growing louder: integration drives growth. Advisors who once treated retirement and wealth management as separate disciplines are now connecting them into a single, technology-enabled client experience – one that’s compliant by design and
- [Seamless Compliance. Growth made possible.](https://investorcom.com/seamless-compliance-growth-made-possible/) - The British Columbia Securities Commission (BCSC) recently released its 2024 Compliance Report Card, offering valuable insights into how firms are adapting to the Client Focused Reforms (CFRs). Two themes emerged as particularly challenging for registrants: Know Your Product (KYP) Assessing a Reasonable Range of Alternatives Both requirements go to the heart of putting clients’ interests
- [Tap into the $1.3 Trillion Rollover Opportunity](https://investorcom.com/tapping-into-the-usd-1-3-trillion-rollover-opportunity/) - On-Demand Webinar Compliance and Growth in the Rollover Opportunity The retirement landscape in North America is shifting rapidly. With an estimated $1.3 trillion in annual rollover activity on the horizon, wealth management firms are being presented with both extraordinary growth prospects and heightened regulatory expectations. This InvestorCOM webinar explores how firms can navigate this environment
- [Modern Document Delivery: Turning Compliance into a Growth Opportunity](https://investorcom.com/modern-document-delivery-turning-compliance-into-a-growth-opportunity/) - Wealth management firms are facing a perfect storm of challenges: Stricter and evolving regulatory standards. Inefficient, manual processes that slow down advisors and increase risk. Clients expecting faster, more transparent service. These issues can make it harder for firms to grow, protect their reputation, and build trust with investors. Why These Challenges Matter Stricter
- [Product Pulse: InvestorCOM’s Salesforce Integration Transforms Compliance and Advisor Workflows](https://investorcom.com/product-pulse-investorcoms-salesforce-integration-transforms-compliance-and-advisor-workflows/) - In the fast-paced world of wealth management, scaling a business isn’t just about adding more clients — it’s about doing so without compromising compliance, efficiency, or the advisor-client relationship. That’s where InvestorCOM’s Salesforce integration steps in, bringing compliance and advisor workflows together in one seamless motion. One Click. Zero Friction. With a single click, advisors
- [Product Pulse: Enhancing Oversight and Compliance with Firm-Level BCC/CC Functionality](https://investorcom.com/product-pulse-enhancing-oversight-and-compliance-with-firm-level-bcc-cc-functionality/) - Striking the right balance between regulatory oversight and operational efficiency is a growing priority for wealth firms today. With that in mind, InvestorCOM has introduced firm-level BCC and CC functionality, a powerful enhancement that strengthens compliance oversight while integrating seamlessly with your existing infrastructure. This new capability allows firms to automatically route advisor-to-investor disclosure communications
- [Compliance as a Business Enabler: Transforming Oversight into Opportunity](https://investorcom.com/compliance-as-a-business-enabler-transforming-oversight-into-opportunity/) - Compliance Isn’t the Enemy of Growth Anymore, They Are Complimentary On Demand Webinar Compliance has long been seen as a defensive function – necessary but burdensome, a cost center rather than a contributor to business success. But if there was one key takeaway from InvestorCOM’s recent webinar with compliance leaders and former regulators, it’s this:
- [Product Pulse: Greater Oversight and Efficiency for CCOs and Advisors](https://investorcom.com/product-pulse-greater-oversight-and-efficiency-for-ccos-and-advisors/) - In a constantly evolving regulatory landscape, compliance leaders and financial advisors need solutions that are not only effective but also intuitive and efficient. That’s why the latest update to RolloverAnalyzer is a game-changer. Purpose-built for a best interest environment, RolloverAnalyzer now gives Chief Compliance Officers (CCOs) and advisors more control, consistency, and confidence when handling
- [Compliance Is No Longer Just Risk Management. It’s Growth Strategy.](https://investorcom.com/compliance-is-no-longer-just-risk-management-its-growth-strategy/) - From Oversight to Opportunity: How Compliance Is Powering Growth By the time a rule is finalized, its intent has already rippled through the corridors of compliance. And by the time a Chief Compliance Officer (CCO) reacts, the best-run firms have already planned their next move. That’s the paradox of modern compliance – being late while
- [Compliance Without the Clutter](https://investorcom.com/compliance-without-the-clutter/) - How smart compliance technology fits seamlessly into advisor workflows Compliance software has long had a reputation for getting in the way – adding steps, slowing conversations, and frustrating advisors just trying to do their job. But the best platforms today are rewriting that story. Rather than standing in the way of advisor efficiency, modern compliance
- [From Errand to Enabler: Compliance Is Now a Strategic Business Decision](https://investorcom.com/from-errand-to-enabler-compliance-is-now-a-strategic-business-decision/) - In a rapidly evolving regulatory landscape, wealth management firms can no longer treat compliance as a mere legal obligation. Once confined to the back office, compliance is now front and center in shaping how firms grow, serve clients, and build trust. The Industry Shift: From Risk Avoidance to Strategic Advantage For years, compliance programs were
- [Leading Through Uncertainty: What’s Top of Mind for Today’s Wealth Leaders](https://investorcom.com/leading-through-uncertainty-roundtable-summary/) - InvestorCOM Roundtable Summary: Discover how senior wealth executives are turning uncertainty into opportunity. In a rapidly shifting regulatory environment, today’s wealth and compliance leaders aren’t just reacting to change — they’re driving it. This exclusive summary, based on a peer-led conversation captures key insights from across the wealth industry. What’s inside: How CCOs are navigating
- [The Compliance Burden Holding Financial Advisors Back - And How to Fix It](https://investorcom.com/the-compliance-burden-thats-holding-financial-advisors-back-and-how-to-fix-it/) - For decades, financial professionals have walked a regulatory tightrope – balancing growth, client relationships, and ever-changing compliance standards. The pressure has only increased in recent years, especially in the high-stakes world of rollover recommendations. Advisors must not only provide sound financial advice but also document, justify, and be ready to defend every decision to regulators.
- [IRA Rollover Opportunity in Wealth Management](https://investorcom.com/ira-rollover-opportunity-in-wealth-management-whitepaper/) - Unlock the $1.3 Trillion Opportunity in IRA Rollovers: Drive Asset Growth. Simplify Compliance. Empower Advisors. With over 10 million rollovers expected to move $1.3 trillion in assets by 2025, the IRA rollover market presents a massive growth opportunity for wealth firms. But without the right tools, it’s also a source of friction, delay, and compliance risk.
- [The Best Interest Era: What Every Firm Needs to Know](https://investorcom.com/the-best-interest-era-what-every-firm-needs-to-know/) - For too long, “best interest” has been a phrase that sounded good in policy manuals but lacked operational teeth. That era is now over. What began as a principles-based initiative under Reg BI has matured into an enforcement framework – one where regulators are no longer looking for internal policies. They’re looking for proof. Increasingly,
- [Half a Decade of Reg BI: Progress Made, Gaps Remain ](https://investorcom.com/half-a-decade-of-reg-bi-progress-made-gaps-remain/) - As we mark the fifth anniversary of the SEC’s Regulation Best Interest (Reg BI), it's evident that while strides have been made, the journey toward full clarity and compliance continues. Insights from the 2025 FINRA Annual Conference and recent industry analyses highlight ongoing challenges and opportunities in the Reg BI landscape. Persistent Ambiguities in Compliance
- [Compare Reasonably Available Alternatives with Confidence](https://investorcom.com/compare-reasonably-available-alternatives-with-confidence/) - The SEC’s scrutiny is rising, and wealth firms can no longer rely on manual processes, fragmented data, and inconsistent documentation. It’s time for a smarter solution. Download our guide to discover how you can: Find reasonably available alternatives Compare reasonably available alternatives with due diligence Enhance efficiency and compliance through automated documentation Deliver and track
- [Make Account Type Recommendations with Confidence](https://investorcom.com/make-account-type-recommendations-with-confidence/) - The SEC’s scrutiny is rising, and wealth firms can no longer rely on manual processes, fragmented data, and inconsistent documentation. It’s time for a smarter solution. Download our guide to discover how you can: Assess account type appropriateness Capture investor interest and generate structured, audit-ready reports Document rationale and centralize record-keeping Deliver and track disclosures
- [Prove Rollover Compliance with Confidence](https://investorcom.com/prove-rollover-compliance-with-confidence/) - The SEC’s scrutiny is rising, and wealth firms can no longer rely on manual processes, fragmented data, and inconsistent documentation. It’s time for a smarter solution. Download our guide to discover how you can: Eliminate manual documentation and reduce regulatory risk Leverage guided workflows to streamline rollover recommendations Improve advisor-client interactions with dynamic data collection
- [InvestorCOM Wins 2025 FinTech Breakthrough RegTech Innovation Award](https://investorcom.com/investorcom-wins-2025-fintech-breakthrough-regtech-innovation-award/) - [Toronto, ON, March 19, 2025] InvestorCOM, a leading provider of regulatory compliance technology for the wealth management industry, has been recognized as a winner in the 2025 FinTech Breakthrough Awards, taking home the prestigious “RegTech Innovation Award.” This marks another milestone for InvestorCOM, reaffirming the company’s position as an industry leader in regulatory technology. The
- [InvestorCOM Launches the New RolloverAnalyzer to Enhance Compliance and Drive Rollover Asset Growth](https://investorcom.com/investorcom-launches-the-new-rolloveranalyzer-to-enhance-compliance-and-drive-rollover-asset-growth/) - InvestorCOM, a leading provider of regulatory compliance software for wealth and asset managers, is proud to announce the release of the New RolloverAnalyzer™, the next-generation solution designed to help financial professionals meet the regulatory requirements of Regulation Best Interest (Reg BI) and PTE 2020-02 while enhancing the efficiency and growth of rollover transactions. Building on
- [Prove Best Interest Compliance with Confidence](https://investorcom.com/prove-best-interest-compliance-with-confidence/) - A Digital Playbook for Passing Audits and Exams The SEC’s 2025 exam priorities are clear: Proving best interest compliance is no longer optional. You’ve built the policies—but can you prove they’re being followed? Manual processes, fragmented data, and inconsistent documentation still plague many firms. This guide breaks down how leading wealth firms are leveraging automation
- [On Demand Webinar: FINRA, SEC and the Best Interest Crackdown: Are You Prepared?](https://investorcom.com/on-demand-webinar-finra-sec-and-the-best-interest-crackdown-are-you-prepared/) - Five years into the best interest journey, enforcement activity is picking up and shedding much needed light on the regulatory expectations across the investment advisory and broker dealer arena. The latest wave of fines and sanctions around account type recommendations and clone ETFs highlight the growing pressure on wealth firms and professionals to consider the
- [FINRA, SEC and the Best Interest Crackdown: Are You Prepared?](https://investorcom.com/finra-sec-and-the-best-interest-crackdown-are-you-prepared/) - Five years into the best interest journey, enforcement activity is picking up and shedding much needed light on the regulatory expectations across the investment advisory and broker dealer arena. The latest wave of fines and sanctions around account type recommendations and clone ETFs highlight the growing pressure on wealth firms and professionals to consider the
- [Fiduciary Rule Mania: Navigating Uncertainty](https://investorcom.com/fiduciary-rule-mania-navigating-uncertainty/) - On-Demand Webinar: August 15, 2024 With consecutive court rulings putting a hold on the Department of Labor’s (DOL) Retirement Security rule, wealth industry professionals find themselves facing a period of uncertainty. While the rule was broadly aligned with the requirements of Regulation Best Interest (Reg BI), the Advisers Act of 1940, along with PTE
- [As SEC Throttles Enforcement, States Finalize Their Own Advisor Standards](https://investorcom.com/as-sec-throttles-enforcement-states-finalize-their-own-advisor-standards/) - by Tracey Longo As the Securities and Exchange Commission pumps the brakes on securities enforcement, the North American Securities Administrators Association is preparing to roll out a regulatory standard of its own to help states better protect investors from financial advisors with conflicts of interest, an NASAA official said in an interview today. In
- [The Fiduciary Rule Rollercoaster: Compliance Strategies for 2025](https://investorcom.com/the-fiduciary-rule-rollercoaster-compliance-strategies-for-2025/) - The fiduciary rule has remained a source of regulatory uncertainty for financial professionals, with recent developments adding further complexity. In a significant turn, the Trump administration has requested a pause in ongoing appeals related to the Department of Labor’s (DOL) fiduciary rule, further complicating the landscape for wealth and asset managers seeking clarity on compliance
- [[Infographic] The Fiduciary Rule Rollercoaster: Compliance Strategies for 2025](https://investorcom.com/infographic-the-fiduciary-rule-rollercoaster-compliance-strategies-for-2025/) - The fiduciary rule continues to be a shifting regulatory challenge for financial professionals, with new developments under the Trump administration adding further complexity. The ongoing uncertainty emphasizes the need for firms to stay proactive, prepare for multiple compliance scenarios, and leverage technology for efficient oversight. Download our latest infographic to explore key compliance strategies that
- [SEC Enforcement - Account Type Recommendations](https://investorcom.com/sec-enforcement-account-type-recommendations/) - The recent SEC enforcement action against One Oak Capital Management highlights the critical importance of adhering to fiduciary duties when recommending account types. In this case, from June 2020 through October 2023, the adviser recommended over 180 clients—primarily elderly individuals—to switch from commission-based brokerage accounts to advisory accounts at One Oak. This transition led to
- [Supercharge Your Practice with Growthtech](https://investorcom.com/supercharge-your-practice-with-growthtech/) - By David Reeve Client-facing technology plays a vital role in achieving organic growth Wealth firms consider organic growth the most important metric heading into 2025, according to Schwab’s RIA benchmarking survey. Despite this goal, organic growth has languished in the low single digital rates in recent years, driven by several factors including the decumulation of
- [On-Demand Webinar: Principles to Practice - Implementing Your Regulatory Program](https://investorcom.com/on-demand-webinar-principles-to-practice-implementing-your-regulatory-program/) - Prepare for the regulatory shifts under the incoming Trump administration. Join us on December 10, 1 PM ET, for expert insights on Reg BI, DOL’s Fiduciary Rule, and strategies for wealth advisors navigating policy changes. Reserve your spot now!
- [Reg BI & Form CRS: What FINRA Expects in 2025 and How to Prepare](https://investorcom.com/reg-bi-form-crs-what-finra-expects-in-2025-and-how-to-prepare/) - The 2025 FINRA Regulatory Oversight Report has highlighted significant compliance deficiencies in Regulation Best Interest (Reg BI) and Form CRS compliance. As FINRA raises the bar, wealth firms must evolve their compliance posture to mitigate risks and foster growth in their practice. This handbook breaks down the deficiencies, and the effective practices that firms can
- [Principles to Practice: Implementing Your Regulatory Program](https://investorcom.com/bridging-the-gap-between-regulatory-requirements-and-implementation/) - Prepare for the regulatory shifts under the incoming Trump administration. Join us on December 10, 1 PM ET, for expert insights on Reg BI, DOL’s Fiduciary Rule, and strategies for wealth advisors navigating policy changes. Reserve your spot now!
- [Why is RolloverAnalyzer Driving 30% Asset Growth for Financial professionals and Firms?](https://investorcom.com/why-is-rolloveranalyzer-driving-30-asset-growth-for-financial-professionals-and-firms/) - In today’s regulatory landscape, capturing rollover assets is both a significant opportunity and a complex challenge for financial professionals and firms. Every year, billions of dollars are moved from employer-sponsored retirement plans into Individual Retirement Accounts (IRAs), offering financial professionals a chance to strengthen relationships, grow their practices, and demonstrate value. However, given the conflicts
- [2024: InvestorCOM's Year In Context](https://investorcom.com/2024-investorcoms-year-in-context/) - As we approach the end of another transformative year, InvestorCOM celebrates the milestones and progress that defined 2024. The year was defined by a rapidly evolving wealth management industry responding to significant developments in regulatory policy. At InvestorCOM, we remained steadfast in our mission to empower firms and financial professionals with innovative solutions, helping them
- [The Coming Regulatory Reset](https://investorcom.com/the-coming-regulatory-reset/) - What the New Administration Means for Wealth Management The incoming administration, armed with a deregulatory mandate, promises to rewrite the rulebook for regulators and agencies. For wealth firms, this is both a challenge and an opportunity to navigate the evolving landscape of oversight. At the heart of these changes is Paul Atkins, President Trump’s likely
- [Adaptability Is Key - Impact of the New Administration](https://investorcom.com/adaptability-is-key-impact-of-the-new-administration/) - The incoming administration, led by President-elect Donald Trump, will take office in January 2025. As with any transition of power, the industry anticipates policy changes to follow. At InvestorCOM’s recent webinar, wealth industry experts explored anticipated changes to regulatory frameworks, enforcement strategies, and compliance best practices under the new administration. Below are the key takeaways:
- [Coming Changes in Regulation and Compliance](https://investorcom.com/coming-changes-in-regulation-and-compliance/) - by Craig Watanabe No one knows the future; however, anticipating possible change is advantageous. The definition of “proactive” is acting in anticipation of future events, so anticipating future changes is critical in being proactive. However, being proactive is not always best, and there are times when being reactive is better. Against this backdrop, this
- [Impact of the New Administration on Wealth Management Regulations](https://investorcom.com/impact-of-the-new-us-administration-on-wealth-management-regulations/) - Prepare for the regulatory shifts under the incoming Trump administration. Join us on December 10, 1 PM ET, for expert insights on Reg BI, DOL’s Fiduciary Rule, and strategies for wealth advisors navigating policy changes. Reserve your spot now!
- [Intergenerational Wealth Transfer Can Be Captured with Tech](https://investorcom.com/intergenerational-wealth-transfer-can-be-captured-with-tech/) - By David Reeve Engage younger investors on their terms With the pending intergenerational wealth transfer, financial advisors are transforming their investor engagement practices. The opportunity is enormous: in Canada, $1 trillion is set to move from Canadian baby boomers to their gen-X and millennial heirs during the decade ending in 2026, ISS Market Intelligence forecasts.
- [Broker-Dealers In SEC Crosshairs For Pricier Funds](https://investorcom.com/broker-dealers-in-sec-crosshairs-for-pricier-funds/) - Advisory firms have spent a copious amount of time this year preparing for the Securities and Exchange Commission’s telegraphed focus on Regulation Best Interest violations, particularly the treatment of complex products. But the agency threw a fastball at the end of October—when it hit JP Morgan affiliates for a litany of infractions, including failing to
- [Insights from the 2024 CCLS Conference](https://investorcom.com/insights-from-the-2024-ccls-conference/) - Last week, Adam, InvestorCOM’s Head of Customer Success, attended the 2024 Conduct, Compliance, and Legal Advisory Section (CCLS) Education Sub-Committee Annual Conference in Toronto. This conference provided valuable insights into the latest advancements in compliance, regulatory updates, and technological innovations shaping the financial services industry. Below are the key highlights from the event: Opening
- [Best Interest Era: Implications, and Necessary Transformation](https://investorcom.com/best-interest-era-implications-and-necessary-transformation/) - Across North America, Regulation Best Interest (Reg BI) and Client Focused Reforms (CFRs), were designed to place investors' interests at the forefront of financial decision-making. While its goals are laudable, its implications for wealth management firms have sparked a challenging but necessary transformation. Financial advisors and firms, long accustomed to managing client relationships and executing
- [SEC's 2025 Exam Priorities](https://investorcom.com/secs-2025-exam-priorities/) - The Securities and Exchange Commission (SEC) announced its exam priorities for 2025, signaling a continued focus on investment advisors, broker-dealers, and Regulation Best Interest (Reg BI). This was later summarized in a FA magazine blog. In this blog, we’ll highlight the key areas the SEC plans to scrutinize and solutions designed to support firms in
- [Navigating Regulatory Exams in the Age of Best Interest](https://investorcom.com/navigating-regulatory-exams-in-the-age-of-best-interest-2/) - Navigating Regulatory Exams in the Best Interest Era The financial industry is constantly evolving, particularly with the introduction of new regulatory requirements. In a recent InvestorCOM webinar, industry experts gathered to share their insights on navigating regulatory exams in the context of the Best Interest (BI) era. This panel explored recent enforcement trends, compliance strategies,
- [Addressing Internal Challenges to Wealth Firms’ Growth](https://investorcom.com/addressing-internal-challenges-to-wealth-firms-growth/) - By David Reeve The “grow or die” mantra affects every industry, including wealth management. Over the past decade, both organic and inorganic growth has been robust, with market performance at record levels and high levels of mergers-and-acquisitions activity. However, over the past few years, wealth firms have been challenged to deliver organic growth rates above
- [Navigating Regulatory Exams in the Age of Best Interest](https://investorcom.com/navigating-regulatory-exams-in-the-age-of-best-interest/) - On-Demand Webinar With increasing regulatory scrutiny, wealth advisory firms are being challenged to ensure compliance with best interest standards. As part of this shift, transitioning from manual based to fully digitized compliance practices has become essential, driving efficiency, transparency, and better outcomes in regulatory exams. Join us on October 17, at 1PM ET, to explore
- [How Alphastar Leveraged Technology for Compliance, Efficiency and Growth](https://investorcom.com/how-alphastar-leveraged-technology-for-compliance-efficiency-and-growth/) - This webinar will focus on the revisions to PTE 2020-02 and how firms can align with the new version by the September deadline.
- [Introducing the NEW PeerCompare: Intuitive assessment of costs and reasonably available alternatives](https://investorcom.com/introducing-the-new-peercompare/) - Since the advent of Regulation Best Interest (Reg BI) in 2020 wealth firms have seen increased scrutiny in their regulatory examinations. This year proves no different, with a heightened focus on firms’ compliance with Reg BI and their ability to illustrate how they are acting in the best interests of their investors . Anecdotally, one
- [Streamlining the Retrospective Review Process with InvestorCOM's Rollover Dashboard](https://investorcom.com/streamlining-the-retrospective-review-process-with-investorcoms-rollover-dashboard/) - In the fast-paced world of financial services, staying compliant with regulations while ensuring the best outcomes for clients can be challenging. One of the key regulatory requirements is the retrospective review process, particularly in the context of rollover activities. This is where InvestorCOM's Compliance Dashboard becomes an invaluable tool, providing comprehensive insights and actionable data
- [Fiduciary Rule Mania: Navigating Uncertainty](https://investorcom.com/fiduciary-rule-mania-navigating-uncertainty-2/) - The Department of Labor's fiduciary rule has been a hot topic in the financial industry, causing what some have dubbed "Fiduciary Rule Mania." With recent court cases stemming potential regulatory changes, uncertainty looms large for those navigating the complexities of compliance. In a recent discussion, industry leaders shared their insights on how to best navigate
- [Involving Customer Feedback to Enhance Our Products](https://investorcom.com/how-we-involve-customer-feedback-in-enhancing-our-products/) - In the dynamic landscape of wealth management, the only constant is the continual evolution of regulations. As the industry faces relentless shifts in compliance requirements, staying ahead of these changes becomes crucial for maintaining trust and integrity. InvestorCOM emerges as a beacon of innovation in this challenging environment. By adhering to a service-first culture, we
- [InvestorCOM: A Testament to Client-Centric Success](https://investorcom.com/investorcom-a-testament-to-client-centric-success/) - At InvestorCOM, our commitment to providing service and innovative solutions is more than just a mission statement—it's our way of doing business. This unwavering dedication is exemplified by our partnership with RFG Advisory, whose recent Client Health Scores reflect perfect ratings across four key metrics: Customer Service, Solutions Satisfaction, Net Promoter Score (NPS), and Likelihood
- [DOL's Fiduciary Rule Mania](https://investorcom.com/dols-fiduciary-rule-mania/) - The recent court decision on the Department of Labor's (DOL) Retirement Security rule has sent waves through the wealth advisory industry, delaying the implementation and creating a sense of uncertainty for many. This decision comes at a critical time, as the Fiduciary Rule (also known as Retirement Security Rule) was broadly aligned with Regulation Best
- [Navigating the Complexities of the DOL Fiduciary Rule: A Call for Prudent Financial Practices](https://investorcom.com/navigating-the-complexities-of-the-dol-fiduciary-rule-a-call-for-prudent-financial-practices/) - By Adam Deathe In a recent conversation, wealth industry experts came together to shed light on the intricate requirements of the latest DOL fiduciary rule. The dialogue underscored the pressing need for financial advisors and firms to embrace rigorous standards of prudence, loyalty, and transparency to protect clients and maintain compliance. Here are the
- [RolloverAnalyzer™ is Transforming the Financial Advisory Landscape](https://investorcom.com/rolloveranalyzer-is-transforming-the-financial-advisory-landscape/) - This year, we conducted a survey of RolloverAnalyzer users from a prominent US advisory firm, and the results were nothing short of astounding. The feedback was overwhelmingly positive, showcasing the significant impact our solution has on financial advisors' productivity and satisfaction. Participants in the survey expressed a clear consensus: RolloverAnalyzer dramatically enhances their efficiency and
- [Webinar Summary - Practical Implications of DOL Fiduciary Rule](https://investorcom.com/practical-implications-of-dol-fiduciary-rule/) - The financial advisory landscape is on the brink of significant transformation with the implementation of the Department of Labor’s (DOL) new fiduciary rule. This shift aims to enhance protections for retirement investors and clarify the responsibilities of financial advisors. InvestorCOM’s recent webinar gathered wealth industry experts Craig Watanabe, William Nelson, Ed Wegener alongside InvestorCOM’s Randy
- [Industry Roundtable: Key Takeaways on DOL’s Fiduciary Rule](https://investorcom.com/industry-roundtable-key-takeaways-on-dols-fiduciary-rule/) - In a landscape shifting towards greater investor protection, recent regulatory changes are reshaping the responsibilities of financial advisors and wealth firms. The DOL’s Final Fiduciary Rule, also known as the Retirement Security Rule, is seen as another step in this direction. InvestorCOM hosted an executive roundtable on June 12, where industry leaders and insiders shared In a landscape shifting towards greater investor protection, recent regulatory changes are reshaping the responsibilities of financial advisors and wealth firms. The DOL’s Final Fiduciary Rule, also known as the Retirement Security Rule, is seen as another step in this direction. InvestorCOM hosted an executive roundtable on June 12, where industry leaders and insiders shared
- [DOL Fiduciary Rule: Practical Implications](https://investorcom.com/dol-fiduciary-rule-practical-implications/) - This webinar will focus on the revisions to PTE 2020-02 and how firms can align with the new version by the September deadline.
- [InvestorCOM Named a Finalist for the 2024 WealthManagement.com Industry Awards](https://investorcom.com/investorcom-finalist-for-wealthmanagement-com-industry-awards/) - InvestorCOM’s AccountCompare Solution has been nominated in the best Compliance Technology Provider category. Toronto, ON, Jun 07, 2024 – InvestorCOM, a leading compliance software provider to the wealth management industry, today announced that it was named as a finalist for the best Compliance Technology Provider in the 2024 WealthManagement.com Industry Awards. InvestorCOM’s innovations behind AccountCompare, and
- [FINRA Annual Conference - Reg BI Déjà Vu ](https://investorcom.com/finra-annual-conference-reg-bi-deja-vu/) - The FINRA Annual Conference once again proved to be an exciting opportunity to reconnect with the compliance community. The consensus was clear: as regulations evolve, technology will be the linchpin in ensuring compliance.
- [Decode the New DOL Rule: Strategic Implications for Your Firm](https://investorcom.com/decode-the-new-dol-rule-and-the-strategic-implication-for-your-firm/) - Explore the strategic implications of the new DOL fiduciary rule in InvestorCOM's upcoming webinar. Gain insights from Tom Selman, Carol McClarnon, Issa Hanna, Randy Barnes, and Parham Nasseri on adapting your firm's practices to meet new standards.
- [Compliant Rollovers are a Primary Channel for Growth](https://investorcom.com/industry-report-compliant-rollovers-are-a-top-channel-for-growth/) - Download this groundbreaking research report from InvestorCOM that explores proprietary data spanning 14k rollovers and 700+ advisors and unveils the growth impact of compliant rollover technology.
- [Navigating CIRO Exam Priorities and Focus Areas](https://investorcom.com/navigating-ciro-exam-priorities-and-focus-areas/) - Dive into the CIRO's exam priorities and CFR obligations with leading industry experts Chris Somerville and Birju Shah in an essential webinar on April 9th at 1 p.m. ET.
- [Navigating Reg BI: The Top 3 Insights from SIFMA C&L Annual Seminar](https://investorcom.com/navigating-reg-bi-insights-from-sifma-cl-conference/) - InvestorCOM recently attended the SIFMA C&L Conference, a pivotal financial industry event. Here are the top conference takeaways impacting how firms approach compliance.
- [InvestorCOM Elevates Parham Nasseri to President](https://investorcom.com/investorcom-elevates-parham-nasseri-to-president/) - InvestorCOM is proud to announce the appointment of Parham Nasseri to President after four years of driving outstanding results.
- [Reg BI Case Studies: Assessing Reasonably Available Alternatives](https://investorcom.com/reg-bi-reasonably-available-alternative-case-studies/) - Join InvestorCOM's webinar featuring Ed Wegener & Dawn Thomason for an in-depth discussion on Reg BI case studies focused on reasonably available alternatives.
- [Compliance Insights: Master CIRO Exam Preparation with InvestorCOM](https://investorcom.com/master-ciro-exam-preparation-with-investorcom/) - Unlock seamless compliance with InvestorCOM’s expert analysis and solutions for the latest CIRO exam priorities and client-focused reforms. Get expert CIRO exam preparation guidance.
- [InvestorCOM Wins 2024 WealthTech Americas Award for Innovative Compliance RegTech Product](https://investorcom.com/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.
- [Industry Veterans Agree on the Need for Compliance Software](https://investorcom.com/industry-veterans-agree-on-the-need-for-compliance-software/) - Learn the one thing that regulatory and compliance leaders agree on as they discuss the industry outlook and expectations from the SEC in the new year.
- [Insights from the SIFMA C&L Regional Conference: Navigating Regulatory Challenges in 2024](https://investorcom.com/insights-from-the-sifma-cl-regional-conference-navigating-regulatory-challenges-in-2024/) - Gain valuable insights into the 2024 exam priorities and findings discussed at the recent SIFMA C&L Regional Conference in New York City.
- [InvestorCOM Introduces Account Recommendation Application to Wealth Compliance Platform ](https://investorcom.com/investorcom-introduces-account-recommendation-application-to-wealth-compliance-platform-2/) - AccountCompare ensures the rationale for account recommendations are in the investor’s best interest, digitally documented and aligned with the firm’s policies.
- [DOL & SEC’s Best Interest Principles: A Gateway to Growth in 2024](https://investorcom.com/dols-secs-best-interest-principles-are-a-gateway-to-2024-business-growth/) - Best Interest principles are not just compliance requirements but pivotal opportunities for business growth and competitive advantage in 2024.
- [Peer Rating: Simplifying the Process of Comparing Reasonably Available Alternatives](https://investorcom.com/peer-rating-simplifying-the-process-of-comparing-reasonably-available-alternatives/) - Simplify the process of comparing Reasonably Available Alternatives for investment product selection, supporting the SEC’s Reg BI Care Obligation and the Client Focused Reforms.
- [Navigating SEC’s Best Interest Expectations: Technology Enhancing Compliance & Growth for Wealth Firms](https://investorcom.com/navigating-secs-best-interest-expectations-technology-enhancing-compliance-growth-for-wealth-firms/) - In the ever-evolving landscape of financial services, regulatory compliance stands as a cornerstone for ensuring transparency, trust, and accountability. The U.S. Securities and Exchange Commission (SEC) plays a pivotal role in setting standards of conduct for broker-dealers and investment advisers (RIAs). Meeting these expectations can be a complex task, especially in an era where technological
- [AI has arrived in wealth management](https://investorcom.com/ai-has-arrived-in-wealth-management/) - Opportunities and challenges must be weighed I recently asked one of the leading GPT (generative pre-trained transformer) platforms how artificial intelligence (AI) is changing the wealth management industry. The response was, not surprisingly, bullish. “AI is already making waves in the wealth management industry, and its impact is likely to grow,” the AI chatbot said.
- [Implementation of Client Focused Reforms and Impact of Limited Product Shelves](https://investorcom.com/implementation-of-client-focused-reforms-and-impact-of-limited-product-shelves/) - On November 16, The Ontario Securities Commission (OSC) published its proposed Statement of Priorities for 2024-2025 year. One of the key priorities include the OSC’s focus on the implementation of the Client Focused Reforms (CFRs). The excerpt below highlights the details of the proposal, including the actions and planned outcomes by the OSC. #4 –
- [Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda – Account Type Recommendations](https://investorcom.com/understanding-secs-2024-exam-priorities-enforcement-agenda-account-type-recommendations/) - On December 12, InvestorCOM hosted a webinar, with the wealth industry’s most trusted and seasoned experts, titled Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda. Rhonda Davis Tom Selman Armini Sarabi Robert McGill Mentioned below is a summary of insights drawn from the conversation. You may watch the complete webinar here. Parham: SEC’s April 2023
- [Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda](https://investorcom.com/understanding-secs-2024-exam-priorities-enforcement-agenda/) - Explore SEC's 2024 Exam Priorities & Enforcement Agenda in our Dec 12 webinar. Industry experts discuss best interest principles, investment advice, and leveraging technology for compliance.
- [Navigating Compliance and Enhancing Financial Decision-Making with AccountCompare](https://investorcom.com/navigating-compliance-and-enhancing-financial-decision-making-with-accountcompare/) - InvestorCOM's AccountCompare: Enhancing Financial Decision-Making with AccountCompare
- [New Department of Labor (DOL) Fiduciary Rule: Embracing New Regulatory Requirements](https://investorcom.com/new-department-of-labor-dol-fiduciary-rule-embracing-new-regulatory-requirements/) - Explore insights from industry experts on navigating the new DOL Fiduciary Rule. Learn how to handle regulatory changes effectively.
- [InvestorCOM Wins Best Wealth Management Regulatory Solution Award](https://investorcom.com/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). The Best Wealth Management Regulatory Solution award recognizes a solution used by wealth management firms
- [InvestorCOM Wins Top Employer Award](https://investorcom.com/investorcom-wins-top-employer-award-2/) - InvestorCOM, Toronto, wins 2024 Top Employers Award for the sixth year. Recognized for workplace excellence, prioritizing employee well-being and community involvement.
- [Fearless Investment Summit - Turning Compliance into a Growth Tool](https://investorcom.com/fearless-investment-summit-turning-compliance-into-a-growth-tool/) - Earlier this month, the InvestorCOM team attended our strategic partner, Nitrogen’s Fearless Investing Summit (FIS). Miami’s sunshine combined with the nearly 1000 attendees made this the wealth industry event of the year. Going on the Offense The theme for the conference was focused on embracing change and growth. Changes in regulation, technology and investor behavior
- [NSCP 2023 Recap](https://investorcom.com/nscp-2023-recap/) - The third week of October 2023 marked a momentous occasion for me. It was my first ever attendance at the National Society of Compliance Professionals conference, and I must say, it did not disappoint. The content for this 3-day event spanned all topics that a Compliance professional could be interested in. Here are a few
- [DOL Fiduciary Obligations & SEC Guidance](https://investorcom.com/dol-fiduciary-obligations-sec-guidance/) - On October 31, 2023, the Department of Labor (DOL) proposed a new rule aimed at “Improving Investment Advice for Workers & Retirees”. InvestorCOM hosted a webinar, with the wealth industry’s most trusted and seasoned experts, to discuss this new proposal. Prior to the webinar, InvestorCOM asked our webinar attendees the following poll questions. Here are
- [DOL Proposes New Rule to Improve Investment Advice for Workers and Retirees](https://investorcom.com/dol-proposes-new-rule-to-improve-investment-advice-for-workers-and-retirees/) - On October 31, 2023, the Department of Labor (DOL) proposed a new rule aimed at "Improving Investment Advice for Workers & Retirees”. This rule defines who is an investment advice fiduciary for purposes of the Employee Retirement Income Security Act (ERISA). The Department released proposed amendments to prohibited transaction exemptions (PTEs) available to investment advice
- [Best Interest Principles: DOL Fiduciary Rule and SEC Guidance](https://investorcom.com/best-interest-principles-dol-fiduciary-rule-and-sec-guidance/) - Is your firm keeping up with the latest regulatory expectations from the SEC and the DOL? Join us for an insightful webinar that delves into the convergence of best interest principles across these regulatory bodies.
- [Event Summary: 2023 Charlotte Regional SIFMA C&L Regional Seminar](https://investorcom.com/event-summary-2023-charlotte-regional-sifma-cl-regional-seminar/) - Here are a few key themes that emerged at the 2023 SIFMA C&L Regional Seminar in Charlotte where speakers and panelists discussed various crucial aspects.
- [Why Rollovers Are Increasing by 2.5X](https://investorcom.com/why-rollovers-are-increasing-by-2-5x/) - Data extracted from InvestorCOM RolloverAnalyzer shows a 2.5X increase in rollover recommendations across four firms within a 12-month timeframe.
- [SIFMA C&L Regional Seminar NYC](https://investorcom.com/sifma-cl-regional-seminar-nyc/) - Meet InvestorCOM at the SIFMA C&L Regional Seminar in NYC where compliance and legal professionals working in the financial services industry gather.
- [CSA/CIRO Notice on Firms' Conflicts of Interest Practices](https://investorcom.com/csa-ciro-notice-on-firms-conflicts-of-interest-practices/) - CSA/CIRO recently issued a Notice summarizing their review of firms' COI practices as it relates to the CFR KYP requirements. The findings were startling.
- [Trust, Disclosure and Technology](https://investorcom.com/trust-disclosure-and-technology/) - Over the course of the last decade, compliance requirements for advisors have increased significantly, which has created tension between the industry and regulators at times. However, the goals of all industry stakeholders might be more aligned than some believe.
- [ShelfMonitor For Dealers – Now Available](https://investorcom.com/shelfmonitortm-blog-2-shelfmonitortm-for-dealers-now-available/) - ShelfMonitor for Dealers is specifically configured for investment dealers that need to understand, assess, approve and monitor the mutual funds, segregated funds and ETFs that are available to their investors on their product shelf.
- [InvestorCOM Helps Wealth Management Dealers Manage their Investment Shelf, Prepare for Audits and Meet KYP Regulations](https://investorcom.com/investorcom-helps-wealth-management-dealers-manage-their-investment-shelf-prepare-for-audits-and-meet-know-your-product-kyp-regulations-with-shelfmonitortm/) - Investment dealers can monitor their product shelf and stay current on the state of the products they provide to their investors. ShelfMonitor monitors over 100 data points for mutual fund products.
- [Technology Automation or Augmentation?](https://investorcom.com/technology-automation-or-augmentation/) - Advisors who are concerned that technology will disrupt their businesses are missing the point completely. While it may be counter-intuitive, introducing digital technologies to your clients will actually create a stronger human connection.
- [Survey Results: Investment Dealer Challenges](https://investorcom.com/shelfmonitor-blog-1-investment-dealer-challenges/) - Did you know that during a survey of mutual funds done in 2019, it was discovered that over a five-week period, there was an average of 2,000 changes a week to the attribute data of mutual funds? Dealers are realizing that they need to step up their game to stay ahead of the regulators. 
- [Solutions for Client-Focused Reforms](https://investorcom.com/solutions-for-client-focused-reforms/) - With Client-Focused Reform regulation, advisors and dealers are challenged with a new compliance obligation. Advisors may be considering how they will meet yet another regulatory challenge in their practice. Learn what the CFRs are and some compliance strategies.
- [The emergence of the hybrid advisor](https://investorcom.com/the-emergence-of-the-hybrid-advisor/) - How embracing technology can help you build stronger client relationships. The adoption of technology within the wealth management industry is often seen as having two opposing approaches: there’s the fully automated robo-advisor at one end of the spectrum, and the traditional wealth manager who offers limited digital capabilities at the other end.
- [Preparing for the intergenerational wealth transfer](https://investorcom.com/preparing-for-the-intergenerational-wealth-transfer/) - The pending wealth transfer – the largest in Canadian history – will challenge advisors to build relationships with new clients who have vastly different expectations than their parents.
- [Foster Innovation for a Better Tomorrow](https://investorcom.com/foster-innovation-better-tomorrow/) - The "fail fast" philosophy has been prolific among lean startups. The concept is simple – cut losses early when you find something that isn't working and...
- [Thinking Like a “Cannibal” When it Comes to Innovation and Business](https://investorcom.com/thinking-like-cannibal-comes-innovation-business/) - Shawn Kanungo He was recently interviewed by Forbes magazine where he explained why leaders need to think "like a cannibal" and how this is an important...
- [InvestorCOM Acquires Blue ID](https://investorcom.com/investorcom-announces-acquisition-of-blue-id/) - InvestorCOM acquires Blue ID, a leader in providing consulting services and creating investor-focused communications for the financial services industry.
- [Artificial Intelligence:  “Upping the Ante”](https://investorcom.com/artificial-intelligence-upping-ante/) - Although it sounds like science fiction, the author talks about how cutting-edge universities and technology companies are aggressively developing BCI, to...
- [InvestorCOM in the News: New disclosure rules signal new era of clarity for ETF investors](https://investorcom.com/investorcom-in-the-news-new-disclosure-rules-signal-new-era-of-clarity-for-etf-investors/) - InvestorCOM in the News: New disclosure rules signal new era of clarity for ETF investors This article appeared in the Globe and Mail and featured an...
- [Dreamers, Builders and Shippers](https://investorcom.com/dreamers-builders-shippers/) - The conversation about cultural diversity of workforces continues to be elevated. High profile technology companies in Silicon Valley have been the target...
- [InvestorCOM Conference - Recap](https://investorcom.com/investorcom-conference-recap/) - Watch some of the highlights from our annual client conference "Disruption in the Wealth Management Industry" which was held on Tuesday, June 27, 2017 at...
- [Information Security is like a Layered Cake](https://investorcom.com/information-security-like-layered-cake-everyone-loves-cake/) - It is hard to deny the taste, texture and presentation of a great cake. For many of us, cakes are associated with something special, or something to look...
- [Women & Wealth](https://investorcom.com/women-wealth/) - These social and economic advances, along with the upcoming $400 billion generational transfer of Canadian wealth, create a dynamic full of implications for...
- [Humans not Robots](https://investorcom.com/humans-not-robots/) - A recent study by HSBC indicates that almost 90% of Canadians trust human advisor advice more than robo advice. This number is substantially higher in...
- [Simple Rules](https://investorcom.com/simple-rules/) - I recently stumbled upon the book “Simple Rules….How to Thrive in a Complex World” written in 2015 by Donald Sull and Kathleen M. Eisenhardt.
- [InvestorCOM Customer Conference “Disruption in the Wealth Management Industry”](https://investorcom.com/investorcom-customer-conference-disruption-in-the-wealth-management-industry/) - Thank you for joining us at our annual conference which was held on Tuesday, June 27, 2017! We thank everyone who attended and hope you enjoyed our expert...
- [InvestorCOM Conference – Disruption in Wealth Management](https://investorcom.com/investorcom-conference-disruption-wealth-management/) - Wealth Management continues to be a tremendous growth opportunity for Financial Services. In 2017, global high-net-worth investments exceeded $70 trillion...
- [Advisor’s Value is 4.08%!](https://investorcom.com/advisors-value-4-08/) - The value of advice from an advisor is under tremendous scrutiny with the new CRM2 regulations and with emerging alternatives such as robo-advisors.
- [Accenture publishes 2017 Compliance Risk Study](https://investorcom.com/accenture-publishes-2017-compliance-risk-study/) - They also state that in many cases, compliance departments have not taken advantage of the tools and technologies that can help it leverage the investments
- [42.2 km:  A Microcosm of Business and Life](https://investorcom.com/42-2-km-microcosm-business-life/) - With spring marathon season in high gear, I find myself with plenty of training and thinking time. It strikes to me that the most important lessons learned...
- [Project Post-Mortem: Do or Doom](https://investorcom.com/project-post-mortem-doom/) - At InvestorCOM, we take this process very seriously and always ensures that a post mortem is conducted. In fact, our post mortem process and meetings are...
- [Abundance: The Future is Better Than You Think](https://investorcom.com/abundance-future-better-think/) - Dr. Peter Diamandis (Founder / Chairman of XPRIZE and Co-Founder / Chairman of Singularity University) and Steven Kotler (Co-founder of Flow Genome Project)...
- [Why we should talk about the Sustainable Development Goals (SDGs)](https://investorcom.com/talk-sustainable-development-goals-sdgs/) - The Sustainable Development Goals (SDGs) is a UN Initiative that was created in 2015 to be completed by 2030. There are 17 goals that have been designed to...
- [An e-migration strategy can help transform your company for growth, but it comes with challenges](https://investorcom.com/an-e-migration-strategy-can-help-transform-your-company-for-growth-but-it-comes-with-challenges/) - The wealth-management industry is facing tremendous pressure due to growing compliance challenges from new regulation, increasing competition, margin...
- [Reports of my Death are Greatly Exaggerated](https://investorcom.com/reports-death-great-exaggerated/) - The mutual fund industry has suffered a lot of bad press over the last couple of years. Pressure to reduce fees, competition from alternative products such...
- [A New Business Guide to Sustainability](https://investorcom.com/new-business-guide-sustainability/) - It is becoming increasingly important for financial organizationsto implement sustainability into their practices and their mindsets, whether it is to keep...
- [“Simplicity is the ultimate sophistication” – Leonardo da Vinci](https://investorcom.com/simplicity-ultimate-sophistication-leonardo-da-vinci/) - Innovation: there is an interminable stream of books, blogs, articles on this topic. A myriad of innovation models are at our fingertips. Try googling...
- [E-Migration of Disclosure May Help Mutual Funds Defend Against ETF Growth](https://investorcom.com/e-migration-disclosure-may-help-mutual-funds-defend-etf-growth/) - Another year has come and gone, and business news sources are flush with stories about the continued rise of ETF's. In a recent article, Joe Rosengarten of...
- [What’s so good about disruption in the wealth management industry?](https://investorcom.com/whats-good-disruption-wealth-management-industry/) - And while some in the industry may be discouraged by these trends, those who focus on the corollary of each one will recognize the tremendous opportunity....
- [Take All Things in Moderation – Including Technology](https://investorcom.com/take-things-moderation-including-technology/) - A recent study from Boston-based Cerulli Associates found that advisors are more than 10 times more likely to contact clients via social media (23.6 times a...
- [Regulation is No Excuse for Poor Customer Experience](https://investorcom.com/regulation-no-excuse-poor-customer-experience/) - The article also points out that in highly regulated industries (such as FS), the bar is currently low – because many providers have hid behind "compliance"...
- [InvestorCOM has a Waste Diversion Rate of 97%](https://investorcom.com/investorcom-has-a-waste-diversion-rate-of-97/) - This is the Vision Statement for the InvestorCOM Sustainability Committee, and in order to be a leader and facilitate environmentally sustainable changes...
- [CRM2 Reporting](https://investorcom.com/crm2-reporting/) - The new CRM2 report is designed to provide a clear and transparent summary of the fees that investors pay their advisor for the investment management...
- [Lois Norris Profiled in KPMG’s “Women of Merit”](https://investorcom.com/lois-norris-was-recently-profiled-in-kpmgs-women-of-merit-publication-congratulations-lois/) - I had my first CFO role relatively early, when I was 32 years old. I was working for Humpty Dumpty and the CEO offered me the position to succeed the...
- [The risks of being overly social](https://investorcom.com/the-risks-of-being-overly-social/) - Many financial advisors are using social media more than ever before to add value and better communicate with their clients in a cost-effective manner, all...
- [Disruption is best done from the inside, a merged startup discovers](https://investorcom.com/disruption-is-best-done-from-the-inside-a-merged-startup-discovers/) - Toronto-based Investorcom, a company that devises innovative communications platforms for the investment sector, is the offspring of two companies from the...
- [Is POS3 the e-migration Tipping Point?](https://investorcom.com/pos3-e-migration-tipping-point/) - The delivery of compliance documents to investors in Canada has been almost 100% via print & mail. Investors have received thousands of prospectuses and...
- [Educating your consumer on e-delivery](https://investorcom.com/educating-consumer-e-delivery/) - As part of your e-migration strategy, evaluating these ideas may help you overcome obstacles to e-migration and eliminate the risk of your consumers being...
- [Get Ready for RegTech](https://investorcom.com/get-ready-regtech/) - RegTech are an emerging group of FinTech players focused on minimizing the impact and cost of new regulatory and compliance requirements for Financial...
- [FinTech as a Disruptor or an Enabler?](https://investorcom.com/fintech-as-a-disruptor-or-an-enabler/) - As stated in the McKinsey report, the role of FinTech in retail banking and wealth management appears to be introducing alternative business models that are...
- [Great Example of E-migration Incentive](https://investorcom.com/great-example-of-e-migration-incentive/) - Much industry attention has focused on billers that contemplate charging their clients for paper invoices…which has not surprisingly resulted in negative...
- [Human Insight more important in Data-Driven World](https://investorcom.com/human-insight-more-important-in-data-driven-world/) - Forrester's article emphasizes the importance of human insight and thinking in a post-digital world. As our organizations digest and rely on more data from...
- [Are you Ready for POS3?](https://investorcom.com/are-you-ready-for-pos3/) - Effective today, May 30, 2016, Point of Sale 3 regulation comes into effect. This means that advisors and dealers that are selling a mutual fund must... 
- [A New Brand of Financial Adviser](https://investorcom.com/a-new-brand-of-financial-adviser/) - The challenge for these new Canadian Fintech firms will be to overcome the Canadian banks' market dominance, brand awareness and trust amongst consumers....
- [Salesforce “2016 Connected Investor Report”](https://investorcom.com/salesforce-2016-connected-investor-report/) - A key finding that jumped off the page for me was the following: 67% of investors believe that modern tools for financial planning are important factors...
- [It’s Not Too Late to Comply](https://investorcom.com/its-not-too-late-to-comply/) - A February MFDA review of the industry's readiness for POS3 and CRM2 provided mixed results – while some dealers are ahead of the curve, the review "found...
- [Increasing Fee Disclosure in the Investment Industry](https://investorcom.com/increasing-fee-disclosure-in-the-investment-industry/) - There's nothing like a weakening stock market to turn everyone's attention to the cost of their investments. And as it should be. In a strong market I may...
- [Now Is The Time for Advisors to Rethink the Exchange of Value](https://investorcom.com/now-time-advisors-rethink-exchange-value/) - The 'exchange of value' (e.g. relationship drivers between buyer and seller) in the investment industry used to be straightforward: financial advisors were...
- [Canadian Regulators Move a Step Closer Towards Eliminating Mutual Fund Commissions](https://investorcom.com/canadian-regulators-move-a-step-closer-towards-eliminating-mutual-fund-commissions/) - The long simmering debate over the high cost of Canadian mutual funds may soon come to a head, bringing more dramatic change to an already fast-evolving...
- [New Record-Keeping Requirements Raise Compliance Concerns](https://investorcom.com/new-record-keeping-requirements-raise-compliance-concerns/) - The Ontario government quietly amended the Ontario Securities Act a few weeks ago, paving the way for even greater disclosure and compliance measures by...
- [Does the Cost of Investing = MER only?](https://investorcom.com/does-the-cost-of-investing-mer-only/) - A recent in the Toronto Star mentions how most Canadian investors believe their only cost of investing in mutual funds is the management expense ratio (MER)...
- [Treat Customer Data as a Gift](https://investorcom.com/treat-customer-data-gift/) - In a recent article on loyalty programs, solutions provider stated that that 81% of consumers know that their data is an asset to organizations but that 67%...
- [Investors Seek Transparency](https://investorcom.com/investors-seek-transparency/) - A recent JD Powers Investor Satisfaction Survey found that investors want transparency surrounding their fees and portfolio performance. When advisors are...
- [Turning Compliance into an Opportunity](https://investorcom.com/turning-compliance-opportunity/) - This article points out 6 regulatory opportunities - strategies that help wealth managers turn regulation into customer upside. Our customers are...
- [Is Compliance keeping the pace with the Front Office?](https://investorcom.com/compliance-keeping-pace-front-office/) - The pending Point of Sale (POS3) regulatory deadline (May 2016) is keeping compliance professionals busy designing new workflows and evaluating solutions...
- [Emerging Wealth Management Business Models](https://investorcom.com/emerging-wealth-management-business-models/) - One of the oldest sayings in the wealth management industry is "Mutual funds are sold and not bought", implying that investors' purchase decisions are made...
- [The Canadian Securities Administrators (CSA) releases its notice "Implementation of Point of Sale Disclosure for Mutual Funds"](https://investorcom.com/the-canadian-securities-administrators-csa-releases-its-notice-implementation-of-point-of-sale-disclosure-for-mutual-funds/) - We, the members of the Canadian Securities Administrators (the CSA), are publishing for a comment period of 120 days proposed amendments to National...
- [The Need for Digital Transformation in Wealth Management](https://investorcom.com/the-need-for-digital-transformation-in-wealth-management/) - We have blogged about this before but it is such a prevalent issue that it bears repeating: there is a significant 'digital divide' between wealth...
- [What’s a Mailbox, Dad?](https://investorcom.com/whats-a-mailbox-dad/) - A few years ago, when Canada Post announced a reduction in service, fewer physical mailboxes and a price increase all at the same time, I wondered aloud if...
- [SEC Staff Bulletin: Reasonably Available Alternatives, Costs & Documentation](https://investorcom.com/sec-staff-bulletin-reasonably-available-alternatives-costs-documentation/) - Industry experts discuss the SEC’s Staff Bulletin around assessing reasonably available alternatives, the consideration of costs, and whether firms need to document the evaluation of reasonably available alternatives.
- [Reg BI Compliance Toolset: Will You Use a Shovel or a Keyboard?](https://investorcom.com/reg-bi-compliance-toolset-will-you-use-a-shovel-or-a-keyboard/) - When it comes to Reg BI exams the implication is clear. SEC examiners are going to go beyond the cursory review of a firm’s policies and procedures and get more in-depth.
- [SIFMA C&L Regional Seminar Charlotte](https://investorcom.com/sifma-cl-regional-seminar-charlotte/) - Meet InvestorCOM in Charlotte at the SIFMA C&L Regional Seminar where compliance and legal professionals working in the financial services industry gather.
- [ComplyConnect Conference & Expo](https://investorcom.com/complyconnect-conference-expo-2/) - InvestorCOM is pleased to be participating at the ComplyConnect Conference & Expo taking place in Huntington Beach, California, on November 4-7, 2023.
- [Fearless Investing Summit](https://investorcom.com/fearless-investing-summit/) - The Fearless Investing Summit is where financial advisors network with the fastest-growing firms in the country, learn how to scale their business, and join a community empowering the world to invest fearlessly.
- [NSCP 2023](https://investorcom.com/nscp-2023/) - Meet InvestorCOM at the 2023 NSCP National Conference, on Oct 16-18 2023 at the Omni Dallas in Dallas, TX.
- [Nitrogen and InvestorCOM Integration Delivers Best Interest Rollover Recommendations Process](https://investorcom.com/nitrogen-and-investorcom-integration-delivers-best-interest-rollover-recommendations-process/) - New integration enables firms and financial professionals to meet Reg BI and PTE 2020-02 rollover obligations and grow their businesses.
- [How to Build a Better Mousetrap](https://investorcom.com/build-better-mousetrap/) - I read a blog post recently on innovation called Where To Look For The Next Big Thing which was a great reminder for all of us in the technology field who...
- [CSA Extends CRM2 July 15, 2015 Reporting Deadline by 6 months](https://investorcom.com/csa-extends-crm2-july-15-2015-reporting-deadline-6-months/) - The CSA letter published on January 28, 2015 said that CRM2 amendments scheduled to come in to force on July 15, 2015 have been extended to December 31...
- [Customer Experience: The New Age of Competitive Advantage](https://investorcom.com/customer-experience-new-age-competitive-advantage/) - The notion of 'customer experience' has long been regarded as an ethereal, intangible concept by many industry segments, including financial services. The...
- [Change Required for Financial Advisors to Engage Millennials](https://investorcom.com/change-required-financials-advisors-engage-millenials/) - There's a lot written these days around the challenges in effectively reaching Millennials (those born roughly between the early 1980s and early 2000s)....
- [COMPLY and InvestorCOM Expand Partnership for Best Interest Recommendations](https://investorcom.com/comply-and-investorcom-expand-partnership-for-best-interest-recommendations/) - New solutions enable advisers to make best interest product and rollover recommendations, digitally documenting and disclosing their analysis. Compliance teams easily prepare for the DOL’s retrospective review with dashboard functionality.
- [DOL’s Retrospective Review: Current State of Compliance in the Industry](https://investorcom.com/dols-retrospective-review-current-state-of-compliance-in-the-industry/) - InvestorCOM spoke with industry experts to discuss the practical side of the DOL's retrospective review process that zeros in on the approach firms are taking to meet the requirement.
- [DOL’s Retrospective Review – A Practitioner’s Guide to Compliance](https://investorcom.com/dols-retrospective-review-a-practitioners-guide-to-compliance/) - Industry experts discuss the practical side of the DOL's retrospective review process that zeros in on the approach firms are taking to meet the requirement.
- [SEC Staff Bulletin: Care Obligation](https://investorcom.com/sec-staff-bulletin-care-obligation/) - Part 2 of a conversation with industry experts discussing the SEC’s guidance on reasonably available alternatives (RAA), and how firms should assess RAA early in the process of formulating recommendations for products.
- [Docupace Announces Integration with InvestorCOM to Deliver Streamlined Advisor Experience at Wintrust Wealth Management](https://investorcom.com/docupace-announces-integration-with-investorcom-to-deliver-streamlined-advisor-experience-at-wintrust-wealth-management/) - Leading wealthtech providers forge partnership to ensure Reg BI compliance of investment recommendations.
- [Riskalyze and InvestorCOM Partner to Bring Rollover Compliance Workflows to Wealth Management Firms](https://investorcom.com/riskalyze-and-investorcom-partner-to-bring-rollover-compliance-workflows-to-wealth-management-firms/) - The new partnership empowers advisors to grow their business while making compliant recommendations that are in their client’s best interest.
- [2023 FINRA Annual Conference: Insights on Reg BI](https://investorcom.com/2023-finra-annual-conference-insights-on-reg-bi/) - The 2023 FINRA Annual Conference covered several topics with conversations often revolving back to Regulation Best Interest (Reg BI).
- [SEC Staff Bulletins and Risk Alerts: Reg BI](https://investorcom.com/sec-staff-bulletins-and-risk-alerts-reg-bi/) - Industry experts from Wintrust Wealth Management, Eversheds Sutherland, and Richard Chen discuss the SEC’s guidance on reasonably available alternatives for advisors and broker-dealers.
- [How to Recommend Variable Annuities with Confidence](https://investorcom.com/how-to-recommend-variable-annuities-with-confidence/) - Manually comparing alternative Variable Annuities and their various characteristics can be challenging for both financial professionals and compliance teams.
- [Market Uncertainty or Market Opportunity?](https://investorcom.com/market-uncertainty-or-market-opportunity/) - How do you react when faced with market uncertainty or a crisis? Do you capitulate, ride it out, or go on offense?
- [An Argument as Old as Technology Itself: Buy vs Build](https://investorcom.com/an-argument-as-old-as-technology-itself-buy-vs-build/) - Buy versus build is wealth firms every year. While there is merit in building in-house technology solutions across various parts of a business, we believe that when it comes to compliance technology, there is strength in leveraging a commercial solution.
- [April '23 SEC Staff Bulletin: Key Highlights](https://investorcom.com/april-2023-sec-staff-bulletin-key-highlights/) - This SEC bulletin provides the wealth industry with guidance on the application of Regulation Best Interest’s (Reg BI) Care Obligation and the Reasonably Available Alternatives (RAA) requirement.
- [SEC Guidance on Reasonably Available Alternatives](https://investorcom.com/sec-guidance-on-reasonably-available-alternatives/) - In this webinar, we discuss the SEC Staff Bulletin “Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations”, which features important guidance to assist firms and financial professionals in providing best interest recommendations to retail investors.
- [FINRA Annual Conference 2023](https://investorcom.com/finra-annual-conference-2023/) - Meet InvestorCOM at FINRA's Annual Conference, their premier event.
- [InvestorCOM Statement](https://investorcom.com/investorcom-statement/) - May 1, 2023
- [SEC Staff Bulletin: Account Recommendations](https://investorcom.com/sec-staff-bulletin-account-recommendations/) - InvestorCOM recently chatted with experts from Faegre Drinker, Oyster Consulting, and Scopus Financial Group to discuss the SEC and FINRA's focus on Reg BI's Care Obligation.
- [Equitable Life and IG Wealth Management Choose InvestorCOM DOX Marketing Platform](https://investorcom.com/equitable-life-and-ig-wealth-management-choose-investorcom-dox-marketing-platform/) - InvestorCOM DOX enables users to order, customize and deliver personalized marketing documents and kits on demand, lowering costs and improving the client experience.
- [InvestorCOM One of Canada's Top Small & Medium Employers](https://investorcom.com/investorcom-wins-top-employer-award/) - InvestorCOM is recognized as one of Canada’s Top Small & Medium Employers (SMEs) for 2023.
- [InvestorCOM Wins 2023 WealthTech Americas Award for Innovative Compliance RegTech Product](https://investorcom.com/investorcom-wins-2023-wealthtech-americas-award-for-innovative-compliance-regtech-product/) - InvestorCOM’s innovative technology helps financial professionals assess, document and disclose best interest investment and rollover recommendations.
- [Kovack Financial Network Chooses InvestorCOM to Meet the DOL’s PTE 2020-02 Requirements](https://investorcom.com/kovack-financial-network-chooses-investorcom-to-meet-the-dols-pte-2020-02-requirements/) - Kovack Financial Network (“KFN”), an independent broker-dealer and registered investment advisor, will roll out InvestorCOM RolloverAnalyzer across their firm.
- [InvestorCOM Named “Best RegTech Company” By FinTech Breakthrough](https://investorcom.com/investorcom-named-best-regtech-company-by-fintech-breakthrough/) - This is the second time InvestorCOM has won a FinTech Breakthrough award. In 2022, InvestorCOM won FinTech Breakthrough’s “Best RegTech Platform” award.
- [Measuring the Impact of Reg BI's Best Interest Requirement](https://investorcom.com/measuring-the-impact-of-reg-bis-best-interest-requirement/) - InvestorCOM conducted an analysis to understand if best interest can be measured, and more importantly if it can improve over time.
- [SIFMA C&L: Emerging Regulations, Reg BI and Market Volatility](https://investorcom.com/sifma-cl-emerging-regulations-reg-bi-and-market-volatility/) - Many conversations at SIFMA C&L centered on the confluence of emerging regulations, including challenges pertaining to the implementation of Reg BI, technology and supervisory processes.
- [InvestorCOM Named Wealth Management Industry Award Finalist](https://investorcom.com/investorcom-named-wealth-management-industry-award-finalist/) - InvestorCOM was recognized as a finalist in the 2022 WealthManagement.com Industry Awards in the category of Compliance. It is the second time that InvestorCOM has been recognized as a finalist in this category.
- [Estancia Capital Partners Announces Strategic Investment in InvestorCOM](https://investorcom.com/estancia-capital-partners-announces-strategic-investment-in-investorcom/) - Estancia Capital Partners completed a significant investment in InvestorCOM. The investment is to accelerate InvestorCOM’s continued expansion across North America and globally.
- [InvestorCOM Wins Top Regional Employer Award](https://investorcom.com/investorcom-wins-top-regional-employer-award/) - InvestorCOM is one of 25 companies to win the 2023 Hamilton-Niagara Top Employers competition
- [CIBC Mellon and InvestorCOM Collaborate to Launch Financial Statement Solutions for Investment Funds](https://investorcom.com/cibc-mellon-and-investorcom-collaborate-to-launch-financial-statement-solutions-for-investment-funds/) - CIBC Mellon’s clients can now tap into InvestorCOM’s Publisher solution to ensure print-ready status of financial statements, create management reports for fund performance, and provide quarterly performance disclosure documents.
- [2023: SEC & FINRA’s Focus on Reg BI’s Care Obligation](https://investorcom.com/2023-sec-finras-focus-on-reg-bis-care-obligation/) - FINRA’s 2023 exam & risk monitoring report and the SEC’s Risk Alert on Reg BI make it clear that regulators continue to place focus on Reg BI’s Care Obligation.
- [InvestorCOM Signs Data Agreement with Morningstar](https://investorcom.com/investorcom-signs-data-agreement-with-morningstar/) - Morningstar investment data will power InvestorCOM’s compliance platform; a platform helping US broker-dealers meet compliance for Regulation Best Interest and beyond.
- [The Challenge of Implementing and Adopting Compliance Technology](https://investorcom.com/the-challenge-of-implementing-and-adopting-compliance-technology/) - Adopting technology across a financial services enterprise is challenging, fraught with risk and requires significant expertise and forethought.
- [How to Simplify the Best Interest Recommendations Requirement](https://investorcom.com/how-to-simplify-the-best-interest-recommendations-requirement/) - InvestorCOM's peer rating analytic helps financial professionals assess costs and reasonably available alternatives when making best interest recommendations.
- [2023: The Year of Reg BI’s Care Obligation](https://investorcom.com/2023-the-year-of-reg-bis-care-obligation/) - This insights summary reviews FINRA’s 2023 exam and risk monitoring report and the SEC’s January 30, 2023 Risk Alert on Reg BI, to assist firms looking to enhance their Care Obligation compliance policies and practices.
- [How to Determine Reasonably Available Alternatives](https://investorcom.com/how-to-determine-reasonably-available-alternatives/) - What are firms and financial professionals to do when there's no guidance to help define what falls into the scope of "reasonably available" for comparing recommended products?
- [SIFMA C&L Annual Seminar 2023](https://investorcom.com/sifma-cl-annual-conference-2023/) - SIFMA's C&L Annual Seminar is the preeminent meeting place for compliance and legal professionals in financial services to gain an understanding of what's next for the markets and the clients we serve.
- [2022: A Year of Growth and Transformation](https://investorcom.com/2022-a-year-of-growth-and-transformation/) - As 2022 draws to a close, it’s a wonderful time to reflect on key milestones in our company’s journey and share our plans for the path ahead in 2023.
- [Regulatory Compliance: How Manual Processes Impact the Home Office](https://investorcom.com/regulatory-compliance-how-manual-processes-impact-the-home-office/) - Best interest doesn't only impact financial professionals and their ability to serve their clients. It also impacts the home office, which could add more expenses and pressure to an already-taxed area.
- [Regulation Best Interest Case Studies](https://investorcom.com/regulation-best-interest-case-studies/) - Issa Hanna and Brian Rubin from Eversheds Sutherland review hypothetical sales recommendations under Reg BI. Hear examples of how Reg BI may apply in practice, analyze the appropriate actions the registered reps took in these cases, and discuss opportunities for improvement.
- [How to Involve (But Not Overwhelm) Advisors in Your Product Due Diligence Processes](https://investorcom.com/how-to-involve-but-not-overwhelm-advisors-in-your-product-due-diligence-processes/) - The Canadian Securities Administrators (CSA) has an expectation on both dealer and advisor actions when a significant change has been identified.
- [The Bridge to a Hybrid Advisor](https://investorcom.com/the-bridge-to-a-hybrid-advisor/) - Despite the early threat of robo-advice disrupting the wealth industry, experts now align on the notion that technology will not displace the wealth advisor.
- [InvestorCOM Introduces Account Recommendation Application to Wealth Compliance Platform](https://investorcom.com/investorcom-introduces-account-recommendation-application-to-wealth-compliance-platform/) - InvestorCOM AccountCompare ensures account type recommendations are in the investor’s best interest, fully documented and aligned with the firm’s policies.
- [InvestorCOM Named 5-Star Wealth Technology Provider](https://investorcom.com/investorcom-named-5-star-wealth-technology-provider/) - Wealth Professional Canada recognizes top 30 wealth tech firms that are helping dealers and advisors future-proof their business
- [InvestorCOM Launches ShelfMonitor for Advisors to Meet KYP Obligation](https://investorcom.com/investorcom-launches-shelfmonitor-for-advisors-to-meet-kyp-obligation/) - Advisors can now meet their KYP regulatory obligations by staying on top of significant changes to investment products in their book of business.
- [InvestorCOM Compliance Dashboard Simplifies PTE 2020-02 Retrospective Review Process](https://investorcom.com/investorcom-compliance-dashboard-simplifies-pte-2020-02-retrospective-review-process/) - There's an easier way to meet the retrospective review requirements. Compliance teams can monitor and analyze their firm’s rollover activity, identify risk-based scenarios for self-correction, and export data for regulatory reports.
- [Q&A: DOL’s Fiduciary and Retrospective Review Expectations](https://investorcom.com/qa-dols-fiduciary-and-retrospective-review-expectations/) - Did you ask questions during our webinar “DOL’s Fiduciary and Retrospective Review Expectations”? Find the answers in this article.
- [PTE 2020-02: Recap and What We've Learned to Date](https://investorcom.com/pte-2020-02-recap-and-what-weve-learned-to-date/) - With the retrospective review deadline approaching, we spoke with Katten, Faegre Drinker, DFPG Investments & Oyster Consulting about their views on the DOL's PTE 2020-02 and what we've learned to date.
- [PTE 2020-02 Retrospective Reviews](https://investorcom.com/pte-2020-02-retrospective-reviews/) - To satisfy the retrospective review requirement of the exemption, firms must conduct an annual retrospective review reasonably designed to assist in detecting and preventing violations of the Impartial Conduct Standards and the firm’s policies and procedures.
- [ComplyConnect Conference & Expo](https://investorcom.com/complyconnect-conference-expo/) - InvestorCOM is pleased to be participating at the ComplyConnect Conference & Expo taking place at the Omni Barton Creek Resort & Spa in Austin, Texas, on Nov. 8 - 10, 2022.
- [The CFRs: What's Working, What's Not and the Journey Ahead](https://investorcom.com/the-cfrs-whats-working-whats-not-and-the-journey-ahead/) - Have the implementations of the Know Your Product and product due diligence requirements delivered better investor outcomes and recommendations? Or are firms and advisors still trying to figure it out?
- [Reg BI Exams and Enforcement](https://investorcom.com/reg-bi-exams-and-enforcement/) - With the SEC scrutinizing the placement of retail investors’ funds, and the first ever Reg BI enforcement case behind us, firms and financial professionals may be considering the value of automated solutions.
- [DOL’s Fiduciary and Retrospective Review Expectations](https://investorcom.com/dols-fiduciary-and-retrospective-review-expectations/) - BDs and investment advisors are turning their full attention to best practices around the PTE 2020-02 retrospective review requirements, including steps to detect and take corrective action when required.
- [2 Years In: Reg BI Exams and Regulatory Overview](https://investorcom.com/2-years-in-reg-bi-exams-and-regulatory-overview/) - We're two years in to the Reg BI regime. InvestorCOM met with industry leaders to discuss the Regulation Best Interest journey and the SEC’s strategic priorities.
- [Investment in Digital Solutions is an Insurance Policy](https://investorcom.com/investment-in-digital-solutions-is-an-insurance-policy/) - Imagine if you could buy insurance that would not only protect you against risk but also effectively eliminate that risk. Digital compliance presents such an opportunity.
- [NSCP 2022](https://investorcom.com/nscp-2022/) - Meet InvestorCOM at the 2022 NSCP National Conference, held Oct 17-19 2022 in National Harbor, MD.
- [CFR Compliance: An Analysis of Significant Changes to the Mutual Fund and ETF Landscape](https://investorcom.com/cfr-compliance-an-analysis-of-significant-changes-to-the-mutual-fund-and-etf-landscape/) - We look at the obligation to monitor significant changes. Using data available in ShelfMonitor, we analyzed the changes to the mutual fund and ETF landscape.
- [InvestorCOM Acquires Distributech](https://investorcom.com/investorcom-acquiert-distributech/) - InvestorCOM acquiert Distributech et met les services financiers en ligne avec la communication numérique 10 NOVEMBRE 2015 – TORONTO, ON: InvestorCOM Inc. annonçait aujourd’hui l’acquisition de Distributech Inc., combinant officiellement les employés et les opérations des deux sociétés pour mieux servir leurs clients communs. Cette acquisition est la culmination de plusieurs années de travail en
- [Reg BI Recent Cases: SEC and FINRA Perspectives](https://investorcom.com/reg-bi-recent-cases-sec-and-finra-perspectives/) - InvestorCOM spoke with David Porteous, Partner at Faegre Drinker and Mitchell Atkins, Principal at FirstMark Regulatory Solutions to discuss the SEC’s and FINRA’s perspectives on the recent Reg BI cases.
- [The Right Compliance Software Can Impact More than Just Compliance](https://investorcom.com/choosing-the-right-compliance-software-can-impact-more-than-just-compliance/) - The value of deploying the right technology goes beyond saving your firm money, aligning with the rules and regulations it is supposed to support, and its configurability.
- [PTE 2020-02: How to Get Ahead of the PTE’s Retrospective Review Process](https://investorcom.com/pte-2020-02-how-to-get-ahead-of-the-ptes-retrospective-review-process/) - InvestorCOM spoke with industry expert, Tom Selman, for his insights on how get ahead of the PTE 2020-02 annual retrospective review process.
- [Demonstrating Compliance with the New KYP and Suitability Determination Requirements](https://investorcom.com/the-cfrs-demonstrating-compliance-with-the-new-kyp/) - How the CFR’s new KYP and the reasonable alternatives assessments can improve the outcome and quality of recommendations for advisors and clients.
- [Advisors Require Tech as Pre-trade Obligations Grow](https://investorcom.com/advisors-require-tech-as-pre-trade-obligations-grow/) - Firms that deliver on digital documentation and disclosure will reduce audit risk.
- [PTE 2020-02: Steps Firms Are Taking to Meet the PTE 2020-02 Requirements](https://investorcom.com/pte-2020-02-steps-firms-are-taking-to-meet-the-pte-2020-02-requirements/) - InvestorCOM recently chatted with Rick Ohlrich, CCO at RFG Advisory to discuss practical steps to meet PTE 2020-02 requirements.
- [Reg BI Enforcement, PTE 2020-02 Day 2 and What's Next](https://investorcom.com/reg-bi-enforcement-pte-2020-02-day-2-and-whats-next/) - With FINRA ramping up Reg BI examinations, the SEC focusing on Reasonably Available Alternatives, and PTE 2020-02 in effect, many firms are asking how best to prepare.
- [Wintrust Wealth Management Selects InvestorCOM PeerCompare to Meet Reg BI’s Care Obligation](https://investorcom.com/wintrust-wealth-management-selects-investorcom-peercompare-to-meet-reg-bis-care-obligation/) - To meet the regulatory requirements for Reg BI’s Care Obligation, Wintrust’s financial professionals will be using InvestorCOM PeerCompare.
- [RedHawk Wealth Advisors Chooses InvestorCOM to Meet the PTE 2020-02 Requirements](https://investorcom.com/redhawk-wealth-advisors-chooses-investorcom-to-meet-the-pte-2020-02-requirements/) - To meet the DOL’s PTE 2020-02 requirements for making compliant best interest recommendations, RedHawk deployed InvestorCOM RolloverAnalyzer.
- [Reg BI Day 2 - Strategies and Implementation Considerations](https://investorcom.com/webinar-reg-bi-day-2-implementation-considerations-after-june-30/) - While there has been ample time and regulatory guidance to mitigate implementation challenges, sustained compliance with Reg BI raises a host of questions.
- [Reg BI and the Future of Compliant Investment Recommendations](https://investorcom.com/webinar-reg-bi-future-compliant-investment-recommendations/) - Join this webinar to hear industry experts from Morningstar and RumbergerKirk, discuss how can broker-dealers prove they are acting in the best interest of retail clients when making investment recommendations.
- [Reg BI - What "Good Faith" Compliance Means](https://investorcom.com/webinar-reg-bi-what-good-faith-compliance-means/) - Join our compliance experts to learn what "Good Faith" actually means and how you can position your Broker-Dealer for success on June 30, 2020 and beyond..
- [Meeting Remote Compliance Challenges during COVID-19 and Beyond](https://investorcom.com/compliance-challenges-during-covid/) - With the Reg BI deadline fast approaching, firms now face a bigger challenge: meeting compliance with a remote workforce. Hear industry experts discuss how wealth management firms can adapt to the new work-from-home realities and maintain strong compliance and record-keeping practices.
- [Nationwide Planning Associates Inc Using InvestorCOM RolloverAnalyzer to Meet the DOL’s PTE 2020-02 Requirements](https://investorcom.com/nationwide-planning-associates-inc-using-investorcom-rolloveranalyzer-to-meet-the-dols-pte-2020-02-requirements/) - Nationwide Planning Associates is using InvestorCOM RolloverAnalyzer, an intuitive app for making best interest rollover recommendations.
- [Leveraging Financial Regulation as a Core Component of Your Wealth Firm’s Growth Strategy](https://investorcom.com/leveraging-financial-regulation-as-a-core-component-of-your-wealth-firms-growth-strategy/) - InvestorCOM spoke with industry experts to discuss best practices in adopting organizational change, reducing compliance friction, and how an RIA firm is leading the transition to technology.
- [Rollovers and Reasonably Available Alternatives: Insights from Industry Experts](https://investorcom.com/rollovers-and-reasonably-available-alternatives/) - InvestorCOM spoke with industry experts to discuss Rollovers and Reasonably Available Alternatives.
- [Best Interest Disclosure Requirements for Rollover Recommendations: A Summary](https://investorcom.com/best-interest-disclosure-requirements-for-rollover-recommendations-a-summary/) - This article summarizes key regulatory guidance for meeting the best interest disclosure requirements when making a rollover recommendation.
- [InvestorCOM is an Employee Recommended Workplace](https://investorcom.com/investorcom-is-an-employee-recommended-workplace/) - InvestorCOM was evaluated by employees on four components of total health – physical, mental, work and life – and their impact on engagement and...
- [InvestorCOM wins Canada’s Top Small & Medium Employer 2018](https://investorcom.com/investorcom-wins-canadas-top-small-medium-employer-2018/) - Canada's Top 100 Employers, Canada's Top Small & Medium Employers is an editorial competition that recognizes the nation's best workplaces with an emphasis...
- [InvestorCOM wins Hamilton-Niagara Top Employer 2019](https://investorcom.com/investorcom-wins-hamilton-niagara-top-employer-2019/) - A subset of Canada's Top 100 Employers, Hamilton-Niagara Top Employer Award is a special designation that recognizes employers in the region that lead their...
- [InvestorCOM wins Hamilton-Niagara Top Employer 2020](https://investorcom.com/investorcom-wins-hamilton-niagara-top-employer-2020/) - InvestorCOM Inc. is proud to be 1 of 20 companies to win the Hamilton-Niagara Top Employer Award for 2020. A subset of Canada’s Top 100 Employers, Hamilton-Niagara Top Employer Award is a special designation that recognizes employers in the region that lead their industries in offering exceptional places to work. InvestorCOM was evaluated by the
- [InvestorCOM Recognized in the 2021 RegTech100 as a Leader in Regulatory Compliance](https://investorcom.com/investorcom-recognized-in-the-2021-regtech100-as-a-leader-in-regulatory-compliance/) - RegTech100 honors InvestorCOM and its innovative platform for enabling financial firms to stay ahead of the evolving regulatory environment and eliminate regulatory risk.
- [InvestorCOM in the News: If you’re married to paper investment statements, it’s divorce time](https://investorcom.com/investorcom-in-the-news-if-youre-married-to-paper-investment-statements-its-divorce-time/) - This article by Rob Carrick appeared in the Globe and Mail and references InvestorCOM's role in helping financial services clients migrate from print/mail...
- [InvestorCOM Inc. wins Hamilton-Niagara's Top Employer Award for 2018](https://investorcom.com/investorcom-inc-wins-hamilton-niagaras-top-employer-award-for-2018/) - TORONTO, Nov. 22, 2017 /CNW/ - InvestorCOM Inc. has been selected as one of Hamilton-Niagara's Top Employers for 2018. This prestigious award was announced...
- [Turning compliance disclosure into a win/win](https://investorcom.com/turning-compliance-disclosure-into-a-win-win/) - The investment industry has been inundated with new regulations, many of which are forcing financial advisors and their dealers to increase their disclosure...
- [Ownership Change at InvestorCOM](https://investorcom.com/ownership-change-at-investorcom/) - President Anthony Boright is retiring from InvestorCOM.
- [Why open banking can be the most important catalyst for change in wealth management](https://investorcom.com/david-reeve-ceo-investorcom-discusses-why-open-banking-can-be-the-most-important-catalyst-for-change-in-wealth-management/) - Open banking can be the most important catalyst for change in wealth management.
- [InvestorCOM Inc. wins Employee Recommended Workplace 2019 for the second year.](https://investorcom.com/investorcom-inc-wins-employee-recommended-workplace-2019-for-the-second-year/) - InvestorCOM is an Employee Recommended Workplace The Employee Recommended Workplace Award is the only award of its kind that is based entirely on feedback from employees. The award program was developed by the Globe and Mail, in partnership with Morneau Shepell. This special designation recognizes employers with excellence in achieving a healthy, engaged and productive
- [InvestorCOM makes major technology investments](https://investorcom.com/investorcom-has-automated-key-processes-within-our-operations-that-will-drive-efficiencies-and-deliver-new-capabilities-to-our-clients-over-the-last-year-we-have-automated-our-ccm-cdm-process-levera/) - InvestorCOM has automated key processes within our operations that will drive efficiencies and deliver new capabilities to our clients. This includes automating our CCM/CDM process and implementing a leading ERP platform for document management.
- [Regal Holdings Selects InvestorCOM to Meet Compliance for Regulation Best Interest](https://investorcom.com/regal-holdings-selects-investorcom-to-meet-compliance-for-regulation-best-interest/) - InvestorCOM’s Reg BI compliance platform will help Regal meet the key categories of disclosure and record-keeping, advisor and process oversight, and investment product selection and monitoring.
- [InvestorCOM Named One of Canada’s Top Small & Medium Employers for 2020](https://investorcom.com/investorcom-named-one-of-canadas-top-small-medium-employers-for-2020/) - For the second year InvestorCOM has been recognized as one of the nation’s best workplaces.
- [InvestorCOM Appoints Financial Industry Experts to Form US Advisory Board](https://investorcom.com/investorcom-appoints-financial-industry-experts-to-form-us-advisory-board/) - Assembly of three recognized leaders - Bill Best, Todd Roadman, and Tom Selman - will help advance InvestorCOM’s expansion into the US wealth management industry
- [InvestorCOM Expands US Advisory Board, Appoints Two Finance Executives](https://investorcom.com/investorcom-expands-us-advisory-board-appoints-two-finance-executives/) - Doug Trott and Donna Fontana bring more than six decades of executive leadership and financial services expertise to InvestorCOM.
- [InvestorCOM Recognized as a Top Employer for the 4th Year in a Row](https://investorcom.com/investorcom-recognized-as-a-top-employer-for-the-4th-year-in-a-row/) - InvestorCOM is one of 20 companies to win the 2021 Hamilton-Niagara Top Employer Award
- [Fintech Innovator Rob Dearman Joins InvestorCOM’s US Advisory Board](https://investorcom.com/fintech-innovator-rob-dearman-joins-investorcoms-us-advisory-board/) - Rob Dearman has a track record of developing and applying innovative technology to solve complex financial services business problems.
- [InvestorCOM Named One of Canada's Top Small & Medium Employers for 2022](https://investorcom.com/investorcom-named-one-of-canadas-top-small-medium-employers-for-2022/) - InvestorCOM is recognized as one of Canada’s Top Small & Medium Employers (SMEs) for 2022.
- [InvestorCOM Named One of Canada’s Top Employers for 2021](https://investorcom.com/investorcom-named-one-of-canadas-top-employers-for-2021/) - InvestorCOM has been named one of Canada’s Top Employers (SMEs) for 2021. InvestorCOM was awarded this recognition previously in 2018 and 2020.
- [InvestorCOM Recognized as a Top Employer for 2022](https://investorcom.com/investorcom-recognized-as-a-top-employer-for-2022/) - InvestorCOM has been named one of Hamilton-Niagara’s Top Employers for 2022. This marks InvestorCOM’s fifth year winning this award.
- [InvestorCOM Recognized as Best Wealth Management Regulatory Solution for the Client Focused Reforms](https://investorcom.com/investorcom-recognized-as-best-wealth-management-regulatory-solution-for-the-client-focused-reforms/) - Canadian RegTech Award recognizes InvestorCOM’s significant achievement and innovation in the advancement of regulatory technology for the Client Focused Reforms.
- [The Importance of Digital Capabilities for Firms to Meet Growing Expectations of the Current Tech-savvy Generation](https://investorcom.com/david-reeve-ceo-investorcom-discusses-importance-of-digital-capabilities-and-artificial-intelligence-for-dealers-and-advisors-to-meet-growing-expectations-of-the-current-tech-savvy-generation/) - Advisors and dealers must embrace artificial intelligence or risk being rendered irrelevant.
- [Leveraging Technology to Remove Friction and Add Convenience](https://investorcom.com/david-reeve-ceo-investorcom-discusses-leveraging-technology-to-remove-friction-and-add-convenience-in-an-article-for-investment-executive/) - By removing friction, adding convenience and changing the value proposition, you can protect your practice from the growing influence of robo-advisors.
- [PTE 2020-02 - Regulatory Compliance, Technology & Growth Opportunities](https://investorcom.com/webinar-pte-2020-02-regulatory-compliance-technology-growth-opportunities/) - Watch this on-demand webinar to hear industry-leading compliance and regulatory practitioners discuss the opportunities and challenges related to meeting the rollover requirements.
- [The Rollover Tidal Wave Is Coming – Are You Ready?](https://investorcom.com/the-rollover-tidal-wave-is-coming-are-you-ready/) - According to a study by LIMRA’s Secure Retirement Institute, IRA rollovers are expected to grow to more than $760 billion annually over the next five years.
- [RIA in a Box Partners with InvestorCOM to Help Advisory Firms Meet the Department of Labor’s PTE 2020-02 Rollover Requirements](https://investorcom.com/ria-in-a-box-partners-with-investorcom-to-help-advisory-firms-meet-the-department-of-labors-pte-2020-02-rollover-requirements/) - Registered investment advisers (RIAs) can now make compliant rollover recommendations using InvestorCOM RolloverAnalyzer.
- [PTE 2020-02: The Case for Deploying Compliance Technology](https://investorcom.com/pte-2020-02-the-case-for-deploying-compliance-technology/) - In a recent poll, 75 percent of respondents said that they would be deploying new compliance technology to meet their rollover requirements. How will your firm prepare for PTE 2020-02?
- [Envestnet Advisor Summit 2022](https://investorcom.com/envestnet-advisor-summit-2022/) - Are you attending Envestnet Advisor Summit? Join us for a coffee and chat to discuss the regulatory storm facing the wealth industry.
- [RFG Advisory Turns to InvestorCOM to Meet Rollover Requirements](https://investorcom.com/rfg-advisory-turns-to-investorcom-to-meet-rollover-requirements/) - To meet the DOL's PTE 2020-02 requirements, award-winning hybrid RIA chooses InvestorCOM’s RolloverAnalyzer to assess, disclose and document best interest rollover recommendations.
- [Reg BI: A Compliance ROI Model](https://investorcom.com/a-compliance-roi-model-for-reg-bi/) - While most wealth firms have met basic Reg BI compliance requirements, many have deferred compliance technology decisions as the industry awaits SEC and FINRA examinations. 
- [The ROI of Compliance Technology](https://investorcom.com/the-roi-of-compliance-technology/) - Compliance investments have not always been viewed through an ROI lens because they are non-discretionary; when a new regulation goes into effect, B-Ds must comply.
- [BNN: CRM2 Reporting Regulations and the Top Questions All Investors Should Ask Their Financial Advisors](https://investorcom.com/dave-carr-pries-vp-of-client-engagement-investorcom-reviews-crm2-reporting-regulations-with-bnn-and-provides-some-of-the-top-questions-all-investors-should-ask-their-financial-advisors/) - What is CRM2 and and what are the top questions investors should ask their financial advisors?
- [Leveraging Compliance to Grow Your Assets](https://investorcom.com/leveraging-compliance-to-grow-your-assets/) - Compliance technology frees advisors to focus on building successful practices.
- [American Independent Securities Group Chooses InvestorCOM to Digitize Rollover Recommendation Process](https://investorcom.com/american-investment-securities-group-chooses-investorcom-to-digitize-rollover-recommendation-process/) - AISG will use InvestorCOM RolloverAnalyzer to make best interest rollover recommendations in compliance with PTE 2020-02.
- [Davenport & Company LLC Selects InvestorCOM to Meet Reg BI and PTE 2020-02 Regulatory Requirements](https://investorcom.com/davenport-company-llc-selects-investorcom-to-meet-reg-bi-and-pte-2020-02-regulatory-requirements/) - Leading wealth management and financial advisory firm using InvestorCOM to digitize the assessment of reasonably available alternative product recommendations and best interest rollover recommendations.
- [FINRA’s 2022 Exam Findings: Reg BI and the Care Obligation](https://investorcom.com/finras-2022-exam-report-addressing-compliance-gaps-in-reg-bis-care-obligation/) - It has been almost two years since Reg BI came into effect. Indicators show that broker-dealers are ramping up their efforts to meet these regulatory requirements.
- [How to Meet the DOL’s PTE 2020-02 Disclosure Requirements](https://investorcom.com/how-to-meet-the-dols-pte-2020-02-disclosure-requirements/) - Whether or not to roll over retirement savings from an employer-sponsored plan is one of the most important financial decisions an investor will make in his or her lifetime.
- [Reg BI’s Care Obligation Under Scrutiny by SEC](https://investorcom.com/reg-bis-care-obligation-under-scrutiny-by-sec/) - Reg BI deficiencies identified by examiners include a failure by firms and financial professionals to consider reasonably available alternative investments and a failure to implement processes and procedures to identify and address conflicts of interest.
- [How Leveraging Tech Supports Advisors’ Books](https://investorcom.com/how-leveraging-tech-supports-advisors-books/) - InvestorCOM's CEO David Reeve discusses client attrition trends and why regulatory reform demands digital adoption.
- [InvestorCOM Named “Best RegTech Platform” in 2022 FinTech Breakthrough Awards Program](https://investorcom.com/investorcom-named-best-regtech-platform-in-2022-fintech-breakthrough-awards-program/) - InvestorCOM has been named “Best RegTech Platform” in the sixth annual FinTech Breakthrough Awards program.
- [FINRA's 2022 Exam Report and the Focus on Reg BI](https://investorcom.com/finras-2022-exam-report-and-the-focus-on-reg-bi/) - With the FINRA 2022 Report on Examination and Risk Monitoring Program calling for more to be done on the Reg BI front, we invite you to hear industry experts from Faegre Drinker, Oyster Consulting and Scopus Financial Group discuss next steps.
- [Reg BI Exams - Reasonably Available Alternatives and Record Keeping](https://investorcom.com/webinar-reg-bi-exams-reasonably-available-alternatives-and-record-keeping/) - Our panel of experts discuss how firms can achieve a consistent and repeatable process for assessing costs and a reasonable range of alternatives at the time of a recommendation.
- [SEC and DOL: Rollover Requirements](https://investorcom.com/the-sec-and-dols-rollover-recommendation-requirements/) - Are you getting ready for the DOL's PTE 2020-02 December deadline? Join this webinar to understand the DOL and SEC's expectations, how to make compliant rollover recommendations, and more.
- [Reg BI Exams - The Care Obligation](https://investorcom.com/webinar-reg-bi-exams-the-care-obligation/) - Learn how broker-dealers can best approach their Care Obligation requirements from a compliance and technology perspective.
- [Client Focused Reforms - Implementing KYP](https://investorcom.com/webinar-client-focused-reforms-implementing-kyp/) - With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting their KYP requirements.
- [Electronic Disclosure - SEC Regulations and the Form CRS Business Case](https://investorcom.com/webinar-electronic-disclosure-sec-regulations-and-the-form-crs-business-case/) - Before deciding to go digital, firms must understand the SEC’s specific requirements for communicating electronically with clients. Join this webinar to learn more.
- [2021 Reg BI Exams & Variable Annuities](https://investorcom.com/webinar-2021-reg-bi-exams-variable-annuities/) - In January 2021, the SEC will move beyond good faith expectations and expand the scope of Reg BI exams. Join this webinar to learn what to expect and best practices when recommending variable annuities.
- [Implementing KYP: Dealer & Advisor Case Studies](https://investorcom.com/implementing-kyp-dealers-advisor-case-studies/) - There are less than 4 months remaining on the CFR journey. Join this webinar to hear case studies on how various investment dealers and advisors are tackling their KYP requirements.
- [Making Compliant Rollover Recommendations](https://investorcom.com/making-compliant-rollover-recommendations/) - ON-DEMAND WEBINAR The SEC and DOL are continuing to focus on rollover recommendations and their impact on investors. The DOL’s Fiduciary Rule and PTE 2020-02 requirements, enforceable on December 21, 2021, will perhaps become the new industry standard going forward. Meet your rollover requirements with confidence. Access this on-demand webinar to hear our panel of
- [Reg BI and PTE 2020-02 Compliance Priorities](https://investorcom.com/reg-bi-and-pte-2020-02-compliance-priorities/) - Industry experts John Carl from Retirement Learning Center and Issa Hanna and Carol McClarnon from Eversheds Sutherland discuss Reg BI and PTE 2020-02 compliance priorities.
- [Client Focused Reforms & KYP: Day 2 and Beyond](https://investorcom.com/client-focused-reforms-kyp-day-2-and-beyond/) - ON-DEMAND WEBINAR It’s been just over a month since Client Focused Reforms (CFR) came into effect. In our conversations with dealers, the vast majority have met the KYP requirements by deploying technology or meeting the requirements manually, while some have adopted a ‘wait and see’ approach. Join us on February 17 to hear industry experts
- [Reg BI and PTE 2020-02: The Perfect Regulatory Storm](https://investorcom.com/reg-bi-and-pte-2020-02-the-perfect-regulatory-storm/) - Two major regulatory changes are currently bearing down on financial professionals and broker-dealers: Regulation Best Interest (Reg BI) and PTE 2020-02. How are you weathering this regulatory storm?
- [Reg BI Exams and Enforcement: Current Observations](https://investorcom.com/reg-bi-exams-and-enforcement-current-observations/) - With SEC examinations ramping up and the PTE 2020-02 deadline around the corner, Industry experts share their observations regarding Reg BI examinations and enforcement and what firms and financial professionals can do to mitigate risk.
- [FINRA 2022 Report - Exam and Risk Monitoring: Reg BI Edition](https://investorcom.com/finra-2022-report-exam-and-risk-monitoring-reg-bi-edition/) - For firms that are impacted by Reg BI, the FINRA 2022 Report on their Examination and Risk Monitoring Program is certainly insightful.
- [Top 5 Highlights of the New DOL PTE 2020-02 Requirements](https://investorcom.com/top-5-highlights-of-the-new-dol-pte-2020-02-requirements/) - Wondering how the new DOL PTE 2020-02 requirements apply to investment advisers already acting as fiduciaries?
- [Implementing KYP: Client Conversations and Firm Preparedness](https://investorcom.com/implementing-kyp-client-conversations-and-firm-preparedness/) - Canadian wealth firms are taking different approaches to meeting the KYP requirements for the Client Focused Reforms. Learn what we have observed in recent client conversations regarding firm preparedness.
- [Wealth Firms Use InvestorCOM to Meet KYP Requirements for the Client Focused Reforms](https://investorcom.com/wealth-firms-use-investorcom-to-meet-kyp-requirements-for-the-client-focused-reforms/) - 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.
- [A Manual Compliance Process is Not Enough: Fiduciary Rule 3.0 and PTE 2020-02](https://investorcom.com/a-manual-compliance-process-is-not-enough-fiduciary-rule-3-0-and-pte-2020-02/) - The deadline to meet compliance for PTE 2020-02 is coming. While firms may be tempted to simply implement a manual compliance process, this would be a mistake.
- [National Society of Compliance Professionals (NSCP) National Conference](https://investorcom.com/nscp-national-conference/) - InvestorCOM will be at the NSCP National Conference, on November 8-10, 2021. Visit us at Booth 39 to discuss how technology can help your firm meet compliance for Reg BI and the DOL's PTE 2020-02.
- [Approach Fiduciary Rule 3.0 and PTE 2020-02 with a Long-term Lens](https://investorcom.com/approach-fiduciary-rule-3-0-and-pte-2020-02-with-a-long-term-lens/) - One interesting insight gathered from the roundtable is to approach compliance with the fiduciary rule with a long-term lens. Read more in this blog post.
- [Data and Technology Challenges When Meeting Fiduciary Rule 3.0 Obligations](https://investorcom.com/data-and-technology-challenges-when-meeting-fiduciary-rule-3-0-obligations/) - Many firms struggle with significant data and technology challenges around meeting Fiduciary Rule 3.0 regulatory obligations.
- [Leading Canadian Insurer Implements InvestorCOM DOX to Digitize Marketing Content and Delivery Process](https://investorcom.com/leading-canadian-insurer-implements-investorcom-dox-to-digitize-marketing-content-and-delivery-process/) - While the company estimates that DOX will save approximately 5,000 hours of marketing resources annually, the big win is to redeploy their marketing talent from customization activities to strategic marketing initiatives that help advisors build their businesses.
- [Technology may hinder your success](https://investorcom.com/investment-executive-article-technology-may-hinder-your-success/) - Success is measured differently by many, but for some, such as legendary UCLA basketball coach John Wooden, success comes more from how you conduct your...
- [Taking the Noise out of KYP Compliance](https://investorcom.com/taking-the-noise-out-of-kyp-compliance/) - A new subscription service from InvestorCOM helps overwhelmed dealers comply with CFR requirements. ShelfMonitor is said the firm’s first step on a strategic roadmap that runs in line with the CFR agenda.
- [COVID 19: Financial Services Industry’s Opportunity to Serve](https://investorcom.com/covid-19-financial-services-industry-opportunity-serve/) - In response to the unprecedented challenges posed by the COVID 19 epidemic, governments have leaned on every possible tool to improve stability for businesses, citizens and the economy. Similarly, global financial regulators have taken major steps to provide market participants and the overall industry regulatory relief.
- [Top Data Challenge Facing Advisors](https://investorcom.com/top-data-challenge-facing-advisors/) - Advisors need to evaluate six data or suitability fields when considering reasonably available alternatives. This requires processing over 1,000,000 data points daily.
- [Meeting New KYP Requirements Without Restricting Shelves](https://investorcom.com/meeting-new-kyp-requirements-without-restricting-shelves/) - In response to recent know-your-product (KYP) regulations on both sides of the border, some of the industry has focused on reducing product shelves and in some cases eliminating third-party products altogether. The intent of the new regulations is to ensure that advisors consider a reasonable range of alternatives when making a recommendation. By pruning their
- [When Making Rollover Recommendations, Is Educating Investors Enough?](https://investorcom.com/when-making-rollover-recommendations-is-educating-investors-enough/) - Some financial professionals and their respective wealth management firms are evaluating whether an educational or an advice-based approach is needed to meet the DOL's PTE 2020-02 requirements.
- [The Reg BI Journey: What’s Coming in 2021](https://investorcom.com/the-reg-bi-journey-whats-coming-in-2021/) - With more than six months since the Regulation Best Interest compliance deadline, a heightened sense of anticipation is brewing around what wealth firms should expect in 2021.
- [Reg BI Enforcement Is Ramping Up: Are You Ready?](https://investorcom.com/reg-bi-enforcement-is-ramping-up-are-you-ready/) - Prior to the Reg BI implementation deadline, many saw the principles-based regulation as the most significant enhancement of conduct standards since the passing of the Securities Act.
- [How Financial Professionals are Thriving under Reg BI](https://investorcom.com/how-financial-professionals-are-thriving-under-reg-bi/) - Over the past decade, the wealth management industry has grappled with a fair share of regulatory change. Since Reg BI came into effect, the industry has taken gradual steps to innovate and meet regulatory demand head-on.
- [InvestorCOM Launches Rollover Application for Meeting Reg BI and PTE 2020-02 Regulations](https://investorcom.com/investorcom-launches-rollover-application-for-meeting-reg-bi-and-pte-2020-02-regulations/) - RolloverAnalyzer enables financial professionals to consistently document and disclose rollover recommendations.
- [KYP and the Power of the Peer](https://investorcom.com/kyp-and-the-power-of-the-peer/) - Why segmenting product shelves into peer groups can help meet regulatory challenges The requirement for advisors to have enhanced KYP processes is ramping up with the client-focused reforms. Beginning in December, all investment recommendations made by an advisor must be filtered through a lens that considers reasonably available alternatives. Furthermore, this analysis must be documented
- [InvestorCOM Adds Powerful Peer Ratings Capability to Investment Comparison Application](https://investorcom.com/investorcom-adds-powerful-peer-ratings-capability-to-investment-comparison-application/) - Algorithm-based rating eliminates advisor guesswork when making compliant investment recommendations; provides supervision teams with unprecedented oversight. Toronto, ON, July 6, 2021 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced that a Peer Rating capability has been added to InvestorCOM PeerCompare to help advisors
- [InvestorCOM Adds Competitive Intelligence Capability to ShelfMonitor](https://investorcom.com/investorcom-adds-competitive-intelligence-capability-to-shelfmonitor/) - ShelfAnalyzer empowers firms to establish a best interest product shelf in support of regulatory requirements.
- [CFR: Implementing KYP - Webinar Q&A](https://investorcom.com/cfr-implementing-kyp-answers-to-webinar-qa/) - Get answers to your most pressing questions on the Client Focused Reforms and implementing KYP. This blog provides answers to the questions asked by dealers in a live webinar.
- [Reg BI: A Dialogue with Issa Hanna, Eversheds Sutherland](https://investorcom.com/reg-bi-a-dialogue-with-issa-hanna-eversheds-sutherland/) - Issa Hanna, Counsel at Eversheds Sutherland discusses Reg BI exams and the consideration of reasonably available alternatives.
- [Materiality Index: Monitor for Significant Change](https://investorcom.com/shelfmonitor-materiality-index-monitor-for-significant-change/) - Introducing the Materiality Index. An easier way to monitor and assess significant change on your product shelf.
- [Debra Foubert, OSC Discusses the Client Focused Reforms](https://investorcom.com/debra-foubert-osc-discusses-the-client-focused-reforms/) - Debra Foubert, OSC's Director of Compliance and Registration Regulation discussed what regulators will expect to see from firms with respect to the CFR’s KYP requirements.
- [A Summary: SEC’s 2021 Examination Priorities and Reg BI](https://investorcom.com/a-summary-secs-2021-examination-priorities-and-reg-bi/) - The priorities are wide-ranging with topics including climate-related risks, conflicts of interest for brokers (Regulation Best Interest) and investment advisers (fiduciary duty), and risks relating to FinTech and RegTech.
- [Reg BI: A Dialogue with Tom Selman, Scopus Financial Group](https://investorcom.com/reg-bi-a-dialogue-with-tom-selman-scopus-financial-group/) - Tom Selman, Founder of Scopus Financial Group and former Executive Vice President of FINRA's Regulatory Policy Division discusses the emergence of Reg BI, what we've learned to date, and what firms should focus on.
- [Client Focused Reforms: A Dialogue with Richard Roskies, AUM Law](https://investorcom.com/client-focused-reforms-a-dialogue-with-richard-roskies-aum-law/) - Richard Roskies, Senior Legal Counsel provides some guidance for the investment dealer community to stay on side of the regulatory expectations for the CFRs.
- [InvestorCOM Launches Compliance Platform for Regulation Best Interest](https://investorcom.com/investorcom-launches-compliance-platform-regulation-best-interest/) - Intuitive, modular solution allows broker-dealers to monitor their product shelf, compare reasonable product alternatives, and deliver compliance and client documents digitally.
- [New record-keeping requirements raise compliance concerns](https://investorcom.com/investment-executive-article-new-record-keeping-requirements-raise-compliance-concerns/) - Ontario's provincial government quietly amended the Ontario Securities Act a few weeks ago, paving the way for even greater compliance measures imposed on...
- [Fund Fees are Decreasing –  How are You Keeping Track?](https://investorcom.com/fund-fees-are-decreasing-how-are-you-keeping-track/) - While the declining trend in fund fees and the investors’ increasing use of lower-cost funds is not a major surprise, there may be a more compelling story to be told here. Over the years, many have published studies around the impact of fees over the long term.
- [Are you Meeting Reg BI’s Requirements in Good Faith?](https://investorcom.com/are-you-meeting-reg-bis-requirements-in-good-faith/) - As the June 30 Reg BI deadline nears, it goes without saying that being in full compliance with the regulations should be the intended goal. Here is an essential roadmap for those in the wealth advisory profession.
- [Reg BI's Care Obligation and Reasonable Alternatives](https://investorcom.com/reg-bis-care-obligation-and-reasonable-alternatives/) - With Reg BI now in effect, broker-dealers and their representatives will need to illustrate how they are complying with the SEC’s Regulation Best Interest (Reg BI). One of the requirements dealers should pay close attention to is the Care Obligation and the consideration of Reasonably Available Alternatives (or RAA) when making a recommendation. What's Changed?
- [Client Focused Reforms: the SRO Chapter](https://investorcom.com/client-focused-reforms-the-sro-chapter/) - Last week, the MFDA and IIROC published their much-awaited versions of the CFRs. These versions are aimed to amend the SROs rules to adhere to provincial regulators’ requirements.
- [Highlights from Client Focused Reform Discussion](https://investorcom.com/highlights-from-client-focused-reform-discussion/) - On February 28 2019, InvestorCOM hosted a client discussion on the pending regulation - Client Focused Reforms. We convened 25 of the industry’s leaders representing Investment Dealers, Asset Managers, Regulators and Legal Experts. The agenda of the discussion started with an update from the CSA, followed by a general discussion on KYC/KYP and concluded with
- [InvestorCOM’s Compliance Solutions Added to the Fidelity Institutional(SM) Discount Alliance Program](https://investorcom.com/investorcoms-compliance-solutions-added-to-the-fidelity-institutionalsm-discount-alliance-program/) - InvestorCOM’s suite of compliance solutions are now available in the Fidelity Institutional Discount Alliance Program and can help wealth firms efficiently and cost-effectively meet their regulatory obligations.
- [Up and Running: Day 2 Industry Responses to Reg BI](https://investorcom.com/up-and-running-day-2-industry-responses-to-reg-bi/) - Given the winds of political change and the SEC’s October 26 roundtable on Regulation Best Interest, regulatory and industry experts from Scopus Financial Group and Celent provide an insightful conversation on: The macro outlook: The impact of political change on Reg BI and the wealth management industry Industry responses to Reg BI and common
- [Webinar: Client Focused Reforms and the KYP Challenge](https://investorcom.com/webinar-client-focused-reforms-and-the-kyp-challenge/) - The Client Focused Reforms introduces new KYP provisions for investment dealers and their representatives. Watch this webinar to discuss practical approaches and best practices.
- [The Skinny on Form CRS](https://investorcom.com/the-skinny-on-form-crs/) - Get the facts on Form CRS including who should care, deadlines for submission, examination tips and how to e-deliver to clients.
- [InvestorCOM Launches Accessible Documents](https://investorcom.com/accessibility/) - March 26, 2019, Toronto, Ontario, Canada – InvestorCOM, a leader in financial services compliance solutions, announced today that their popular compliance software, Publisher, will now create Accessible documents that are compliant with the Accessibility for Ontarians with Disabilities Act (AODA). InvestorCOM’s Publisher automates the process of creating, translating, and publishing regulatory documents for fund companies,
- [Digital Resistance](https://investorcom.com/digital-resistance/) - This is emerging as a common theme...digital resistance. See the article and report from cgi below which mirrors other recent research and writing from...
- [The Hold Up on Hold Recommendations](https://investorcom.com/the-hold-up-on-hold-recommendations/) - Most people don’t pay much attention to their regulatory obligations when making a recommendation to hold a security. Under Reg BI, this will need to change.
- [How to Increase Digital Adoption for Client Wealth Reporting](https://investorcom.com/how-to-increase-digital-adoption-for-client-wealth-reporting/) - Three Key Steps to Improve Investor Engagement and Advisor Success With the exception of a few market leaders, the percentage of client wealth reporting delivered digitally (vs paper) is astonishingly low for 2019. Industry averages suggest that many wealth managers are hovering between 0% and 20% for digital delivery of statements, confirms and other client
- [Why Wealth Management Needs RegTech](https://investorcom.com/why-wealth-management-needs-regtech/) - Vasyl Soloshchuk from WealthTech Club interviewed David Reeve to learn why Wealth Management Needs RegTech. InvestorCOM's CEO David Reeve InvestorCOM is a provider of regulatory compliance software and communications solutions, whose intuitive solutions were developed in response to increasing regulation and the demand for more effective communication and disclosure from the financial services industry. The
- [Webinar: Challenges and Best Practices for KYP Compliance](https://investorcom.com/challenges-best-practices-kyp-compliance/) - Hear our panel of industry experts from Assante Wealth Management, Manulife Securities and TD Wealth discuss the challenges and best practices on how to focus on material changes and stay on top of their product shelves.
- [Preparing for a Post-Coronavirus Wealth Advice World](https://investorcom.com/preparing-for-a-post-coronavirus-wealth-advice-world/) - Advisors and dealers are rethinking their pre-coronavirus routine of serving clients from their offices.
- [Chairman U.S. SEC Delivers "Looking ahead and moving forward" Speech](https://investorcom.com/chairman-mary-shapiro-of-the-u-s-securities-and-exchange-commission-sec-delivers-her-looking-ahead-and-moving-forward-speech-in-the-coming-year-we-will-be-focused-on-how-we-can-get-helpful/) - Chairman U.S. SEC Mary Shapiro Delivers "Looking ahead and moving forward" Speech
- [Angus Reid Survey shows millennials are more likely to invest with Robo Advisors](https://investorcom.com/angus-reid-survey-shows-millennials-are-more-likely-to-invest-with-robo/) - The 18-34 demographic is three times more likely to use a robo-advisor than many of their parents who are 55 years+. Traditional wealth managers should be concerned.
- [Overcoming the Digital Transformation Challenge](https://investorcom.com/overcoming-the-digital-transformation-challenge/) - Greg Satell’s article does a great job of identifying the challenges of digital transformation. He begins by referencing McKinsey’s highly discouraging estimate that only 1/3 of all digital transformations succeed. It is one of the highest priorities for every financial services organization, yet success is surprisingly elusive! The article’s focus on people vs. technology is extremely important in our view. Introducing technology or a “digital alternative” to financial services clients yields organic conversion rates rarely exceed 15-20%. Focusing on people first and technology second is a critical step in the journey. One of the other points made in this article is to identify a “Keystone Change”. In our world, this means identifying one particular client communication stream that can be easily digitized and then leveraging this success and learning elsewhere. A number of our clients have worked with InvestorCOM to digitize one compliance process and once they see these impressive results, this keystone change is replicated to drive a broader transformation plan. Overall, we feel that this is an excellent playbook in your digital transformation plans.
- [What is InvestorCOM’s strategy for accessible documents?](https://investorcom.com/what-is-investorcoms-strategy-for-accessible-documents/) - At InvestorCOM, our products play a key role in generating regulatory and compliance documents. So, it makes sense that our solutions should embrace and generate accessible documents for individuals with visual and cognitive disabilities. And we do. Publishing As part of our document accessibility strategy, Publisher was the first solution to generate documents that are
- [Reducing Regulatory Burden](https://investorcom.com/reducing-regulatory-burden/) - This recent G+M article provides a good summary of the Regulatory Burden Reduction initiative that the OSC and other CSA partners have initiated. As the article states “burden reduction and investor protection can be mutually compatible”; however, careful consideration is required to ensure that investor protection is maintained while removing compliance friction from the investment industry. The burden can take many shapes including process overhead and of course cost. As a partner to Canada’s leading wealth managers, our mantra is to ensure that our clients meet their compliance obligations while minimizing cost. Many of the regulations within the industry require additional product and fee disclosure and disclosure almost always means more documentation. Over the course of the last 5 years, we have removed millions of dollars of cost from our clients' workflow by transforming the delivery of physical documents (print and mail) to digital documents and we are just getting started! Two great examples are Point of Sale (POS3) which are 95% digital and Continuous Disclosure Management (CDM) which is over 50% digital and growing. As one of our clients recently said – you guys are compliance pain relief! While the regulators look at harmonizing and reducing the overall regulatory framework, we are complementing these efforts by driving green dollar cost out of the industry – which is also increasing client engagement. Ultimately, the tricky balance between investor protection and managing the cost of regulatory disclosure might be achieved.
- [Why do we need accessible documents?](https://investorcom.com/why-do-we-need-accessible-documents/) - Implementing Accessibility in Ontario is a slow-moving process, since the introduction of the first acts over 15 years ago. Why is this? Intuitively, everyone wants to be accessible include people with disabilities in their ecosystem. After all, it is the right thing to do. The length of time for the execution of the accessible guidelines
- [Client Focused Reform Discussion – February 28, 2019](https://investorcom.com/client-focused-reform-discussion-february-28-2019/) - InvestorCOM is hosting a Client Forum to discuss Client Focused Reforms on February 28 th . It will be a small group of senior Financial Services compliance professionals representing all the major dealers (banks, insurance, and independent). As a partner delivering compliance solutions, InvestorCOM has a history of working with industry leaders and creating innovative
- [Highlights from "Bridging to a Digital Tomorrow"](https://investorcom.com/highlights-from-bridging-to-a-digital-tomorrow/) - "Bridging to a Digital Tomorrow" which was held on Tuesday June 26, 2018 at the Arcadian Court in Toronto. Our speakers covered a wide range of topics...
- [Technology can ease the regulatory burden](https://investorcom.com/technology-can-ease-the-regulatory-burden/) - Advisors and dealers are looking for strategies to remain compliant while managing costs and improving client satisfaction By: David Reeve February 7, 2019 Original Article: www.investmentexecutive.com Over the past decade, new regulations have substantially increased the volume of information exchanged between advisor/dealers and clients. In many cases, this disclosure information has been delivered on paper, driving
- [Digital Transformation is Slow](https://investorcom.com/digital-transformation-is-slow/) - This study published by Broadridge contains some interesting and fun statistics on the state of digital transformation within financial services in Canada. The poll of 100 senior financial services players highlights the slow pace of digital transformation. One of the most telling stats is that only 17% of executives have given themselves an “A” in terms of digital transformation with over 50% ranking themselves a “C” or worse. There is a major misalignment between strategy and reality as financial services CEO’s rank digital transformation as one of 3 top strategic priorities according to Gartner. What is causing this misalignment? The study uncovers one of the biggest obstacles – legacy technology. Most traditional wealth managers are making investments in their digital future – introducing new technology to improve client experience or offer new services. But their legacy business (recently referred to as an anchor by one of our clients) remains a huge challenge – and one that new robo advisers and other fintech’s do not have to grapple with. At InvestorCOM we are laser focused on this challenge – while our clients invest in their digital future, we are investing in digitizing their legacy business, specifically client communications and compliance functions. Our goal is that these partners will move from a “C” or worse to an “A” in the not too distant future.
- [Are we in Digital Denial?](https://investorcom.com/are-we-in-digital-denial-2/) - In the Financial Services industry, we see e-migration levels that are below 10% - which means that one of the most basic elements of digital transformation...
- [InvestorCOM announces Customer Loyalty and Satisfaction results for 2016](https://investorcom.com/investorcom-announces-customer-loyalty-and-satisfaction-results-for-2016/) - Customer Satisfaction survey of all clients across range of products and solutions. This year’s survey resulted in the company achieving an average Net Promoter score of 73 across its national client base, placing InvestorCOM in the company of consumer NPS leaders such as Apple, Costco, Amazon and Southwest Airlines.
- [International Organization of Securities Commissions (IOSCO) releases its "Principles on Point of Sale Disclosure" consultation paper](https://investorcom.com/international-organization-of-securities-commissions-iosco-releases-its-principles-on-point-of-sale-disclosure-consultation-paper/) - The International Organization of Securities Commissions Technical Committee's (TC) Standing Committee on the Regulation of Market Intermediaries (TCSC3)...
- [Canadian Securities Administrators (CSA) Releases Status Report on the Implementation of Point of Sale Disclosure for Mutual Funds](https://investorcom.com/canadian-securities-administrators-csa-releases-status-report-on-the-implementation-of-point-of-sale-disclosure-for-mutual-funds/) - The Canadian Securities Administrators (CSA) today released its "Status Report on the Implementation of Point of Sale Disclosure for Mutual Funds" and in it...
- [InvestorPOS comments on Canadian Securities Administrators' (CSA) announcement regarding a January 1, 2010 deadline for Fund Facts availability.](https://investorcom.com/investorpos-comments-on-canadian-securities-administrators-csa-announcement-regarding-a-january-1-2010-deadline-for-fund-facts-availability/) - The Canadian Securities Administrators (CSA) today published amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure which among other...
- [Canadian Securities Administrators (CSA) releases amendments to National Instrument 81-101.](https://investorcom.com/canadian-securities-administrators-csa-releases-amendments-to-national-instrument-81-101/) - We, the Canadian Securities Administrators (the CSA or we), are making amendments to National Instrument 81-101 Mutual Fund Prospectus Disclosure (the Rule)...
- [InvestorPOS Signs Agreement with Schedule I Bank](https://investorcom.com/investorpos-signs-agreement-with-schedule-i-bank/) - InvestorPOS™ is pleased to announce that one of Canada's Schedule I banks has entered into an agreement with InvestorPOS™ to produce "Fund Facts" documents...
- [CSA paves the way for Fund Facts delivery](https://investorcom.com/csa-paves-the-way-for-fund-facts-delivery/) - With the February 23, 2011 release of staff notice 81-321 by the Canadian Securities Administrators – EARLY USE OF FUND FACTS TO SATISFY PROSPECTUS DELIVERY...
- [InvestorPOS Signs Agreement with another Schedule I Bank.](https://investorcom.com/investorpos-signs-agreement-with-another-schedule-i-bank/) - InvestorPOS™ is pleased to announce an agreement with a Schedule I Bank, licensing use of its FF Xpress™ Fund Facts document repository to provide a fully...
- [New website for fund facts disclosure documents launched – Investment Executive.](https://investorcom.com/new-website-for-fund-facts-disclosure-documents-launched-investment-executive/) - As advisors and fund companies adapt to the first phase of securities regulators' new mutual fund disclosure regime, a website launched this week will help...
- [Is a fund that drops 60% only "medium" risk? – Toronto Star](https://investorcom.com/is-a-fund-that-drops-60-only-medium-risk-toronto-star/) - Mutual funds aren't easy to buy. There are thousands of them for sale in Canada, outnumbering the securities listed on the Toronto Stock Exchange. Most...
- [Helping out with Fund Facts – Investment Executive](https://investorcom.com/helping-out-with-fund-facts-investment-executive/) - The mutual fund industry has passed the first big hurdle in the disclosure-reform process, but it's becoming clear that mutual fund firms and financial...
- [Financial advisors surveyed on the value of Fund Facts](https://investorcom.com/financial-advisors-surveyed-on-the-value-of-fund-facts/) - Canada's mutual fund companies were required as of July 1st to post new, plain-language disclosure documents called Fund Facts – more than 25,000 documents...
- [Jonathan Chevreau article on Fund Facts in National Post](https://investorcom.com/jonathan-chevreau-article-on-fund-facts-in-national-post/) - A survey of financial advisors finds that the 2‐page Fund Facts that Canada's fund companies were required to provide as of July 1st are popular — at least...
- [IOSCO releases its "Principles of Point of Sale Disclosure Final Report"](https://investorcom.com/iosco-releases-its-principles-of-point-of-sale-disclosure-final-report/) - The International Organization of Securities Commissions‟ (IOSCO) Technical Committee‟s Standing Committee on the Regulation of Market Intermediaries...
- [InvestorPOS launches new web site](https://investorcom.com/investorpos-launches-new-web-site/) - InvestorPOS Inc. has launched a new web site at www.InvestorPOS.com, highlighting its suite of solutions for advisors, asset managers, investment fund...
- [InvestorPOS Well Positioned to Help Dealers](https://investorcom.com/investorpos-well-positioned-to-help-dealers/) - On June 21st the Canadian Securities Administrators (CSA) released for comment their proposed amendments to National Instrument 81-101 Mutual Fund...
- [InvestorPOS submits comments to CSA re. Stage 2 amendments](https://investorcom.com/investorpos-submits-comments-to-csa-re-stage-2-amendments/) - We are pleased to provide InvestorPOS' comments to the Canadian Security Administrators' (CSA) second publication of proposed amendments for the...
- [InvestorPOS signs Agreement with Morningstar](https://investorcom.com/investorpos-signs-agreement-with-morningstar/) - InvestorPOS Inc. today signed an agreement with Morningstar Research Inc., a subsidiary of independent investment research provider Morningstar, Inc., to...
- [Stage 2 Fund Facts delivery webinar Oct. 11 & 16](https://investorcom.com/stage-2-fund-facts-delivery-webinar-oct-11-16/) - Fund Facts delivery represents a significant opportunity for the industry in terms of cost reduction and improved investor satisfaction. However, it also...
- [Investment Executive – Advisors embrace Fund Facts](https://investorcom.com/investment-executive-advisors-embrace-fund-facts/) - Advisors using the new Fund Facts disclosure documents are already seeing many benefits for their businesses and clients, according to a recent survey....
- [InvestorPOS launches inline blacklining/redlining for Financial Services documents](https://investorcom.com/investorpos-launches-inline-blacklining-redlining-for-financial-services-documents/) - Blackline documents are used to graphically show content changes that have been made to a document between two given dates. In addition to being able to...
- [IDC White Paper “It’s Worse than You Think: Poor Document Processes Lead to Significant Business Risk”](https://investorcom.com/idc-white-paper-its-worse-than-you-think-poor-document-processes-lead-to-significant-business-risk/) - Failures in Document-Driven Business Processes Are Higher Risk and Costlier than Many Executives Think Many business executives understand that improving...
- [InvestorPOS Fund Facts Delivery Solutions unveiled](https://investorcom.com/investorpos-fund-facts-delivery-solutions-unveiled/) - InvestorPOS is a hosted, Software-as-a-Service (SaaS) solution and suite of modules that allows asset managers and dealers to efficiently create and deliver...
- [InvestorPOS launches new enhancements for automated document publisher platform](https://investorcom.com/investorpos-launches-new-enhancements-for-automated-document-publisher-platform/) - Documents can now be processed in batches within InvestorPOS Publisher. This new feature will allow you to combine multiple documents into one large PDF or...
- [Canadian Securities Regulators Now Require Delivery of the Fund Facts for Mutual Funds](https://investorcom.com/canadian-securities-regulators-now-require-delivery-of-the-fund-facts-for-mutual-funds/) - The Canadian Securities Administrators (CSA) today announced the final rule for Stage 2 of the mutual fund Point of Sale regulation which will require...
- [InvestorPOS’ comments on the Bank for International Settlements’ Point of Sale disclosure in the insurance, banking and securities sectors consultative document published in August 2013](https://investorcom.com/investorpos-comments-on-the-bank-for-international-settlements-point-of-sale-disclosure-in-the-insurance-banking-and-securities-sectors-consultative-document-published-in-august-201/) - We are pleased to provide InvestorPOS' comments to the Bank for International Settlements' Point of Sale disclosure in the insurance, banking and securities...
- [Investment Executive Article - “Is Point of Sale Disclosure a Winning Strategy?”](https://investorcom.com/investment-executive-article-is-point-of-sale-disclosure-a-winning-strategy/) - Few issues cause the same exasperated response from financial advisors as the prospect of heightened compliance and increased regulatory disclosure...
- [InvestorPOS Acquires VAULT Solutions](https://investorcom.com/investorpos-acquires-vault-solutions/) - InvestorPOS today announced that it has acquired VAULT Solutions Inc., a 10-year old professional services company with expertise in the development of...
- [InvestorPOS Receives Regulatory Approval to Deliver Fund Facts Early](https://investorcom.com/investorpos-receives-regulatory-approval-to-deliver-fund-facts-early/) - InvestorPOS announced today that it had received regulatory approval to begin delivering Fund Facts documents for its dealer clients ahead of the June 13,...
- [Interview with InvestorPOS’ Anthony Boright on AdvisorAnalyst.com](https://investorcom.com/interview-with-investorpos-anthony-boright-on-advisoranalyst-com/) - InvestorPOS Interview on AdvisorAnalyst.com Watch the Video
- [Interview with OSC's Rhonda Goldberg on why pre-sale delivery of Fund Facts is essential](https://investorcom.com/interview-with-oscs-rhonda-goldberg-on-why-pre-sale-delivery-of-fund-facts-is-essential/) - What you'll soon need to see before buying a mutual fund OSC's Rhonda Goldberg on why pre-sale delivery of Fund Facts is essential Read Interview
- [Canada’s Anti-Spam Legislation (CASL) - Compliance Primer & Checklist](https://investorcom.com/canadas-anti-spam-legislation-casl-compliance-primer-checklist/) - This guide is intended to provide clients with an overview of Canada's Anti-Spam Law (CASL), scheduled to take effect on July 1, 2014. CASL applies to the...
- [InvestorPOS CRM2 Compatibility and Partnership Announcement](https://investorcom.com/investorpos-crm2-compatibility-and-partnership-announcement/) - InvestorPOS is pleased to announce that the Fund Facts Xpress delivery platform meets all CRM2 compliance requirements for the July 2014 deadline. At the...
- [InvestorPOS submission to CSA on stage 3 of POS regulation](https://investorcom.com/investorpos-submission-to-csa-on-stage-3-of-pos-regulation/) - InvestorPOS is pleased to provide our comments to the Canadian Security Administrators' (CSA) second publication of proposed amendments for the...
- [Release Notes: New InvestorPOS Delivery platform CRM2 compliance enhancements](https://investorcom.com/release-notes-new-investorpos-delivery-platform-crm2-compliance-enhancements/) - At the time an order has been placed the user has the ability to select the 'CRM2 Fee Disclosure Completed' as well as add notes that apply to the order(s)..
- [Investment Executive article "Dealing with the coming regulatory tsunami"](https://investorcom.com/investment-executive-article-dealing-with-the-coming-regulatory-tsunami/) - Advisors cannot hope to remain compliant without the strategic use of technology There are some troubling signs that financial advisors in Canada are...
- [InvestorPOS Announces New Release for Fund Facts Delivery Platform](https://investorcom.com/investorpos-announces-new-release-for-fund-facts-delivery-platform/) - InvestorPOS is pleased to announce the release of version 3.0 of our Fund Facts delivery platform. InvestorPOS now offers full support for CRM2 fee...
- [InvestorPOS launches CRM2 compliant module for Fund Facts delivery platform](https://investorcom.com/investorpos-launches-crm2-compliant-module-for-fund-facts-delivery-platform/) - InvestorPOS is pleased to announce the release of version 3.0 of our Fund Facts delivery platform. InvestorPOS now offers full support for CRM2 fee...
- [Release Notes: New InvestorPOS Delivery platform enhancements include address book improvements](https://investorcom.com/release-notes-new-investorpos-delivery-platform-enhancements-include-address-book-improvements/) - Within the details of the order a new feature has been added that allows you to copy the Fund Facts that were sent from a previous order. When selecting the...
- [Investment Executive article "Let’s not rain on the cloud"](https://investorcom.com/investment-executive-article-lets-not-rain-on-the-cloud/) - Some financial services organizations perceive inherent risks associated with the cloud, but the temptation to avoid this evolving frontier will be done at...
- [Investment Executive Article - "The convergence of marketing communication and regulatory disclosure"](https://investorcom.com/investment-executive-article-the-convergence-of-marketing-communication-and-regulatory-disclosure/) - Sending material to clients before they make a decision could help improve disclosure to retail investors, but may complicate advisors' marketing efforts...
- [InvestorPOS has changed its company name to InvestorCOM!](https://investorcom.com/investorpos-has-changed-its-company-name-to-investorcom/) - December 2, 2014, TORONTO – InvestorPOS announced today that as part of its brand evolution it has changed its company name to InvestorCOM. InvestorCOM is...
- [CSA Announces Final Stage 3 POS Pre-Sale Delivery Regulation](https://investorcom.com/csa-announces-final-stage-3-pos-pre-sale-delivery-regulation/) - 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,...
- [Point of Sale Stage 3 Final Ruling - Executive Summary](https://investorcom.com/point-of-sale-stage-3-final-ruling-executive-summary/) - December 12, 2014, TORONTO - The Canadian Securities Administrators (CSA) released the final rule amendments on Point of Sale Disclosure for Mutual Funds:...
- [Investment Executive Article - “How to engage young adults in the financial planning process”](https://investorcom.com/investment-executive-article-how-to-engage-young-adults-in-the-financial-planning-process/) - Young adults aren't saving their money, and while governments may be trying to educate students by integrating financial literacy into the school curriculum...
- [Investment Executive Article - “Use technology to create exceptional client experiences”](https://investorcom.com/investment-executive-article-use-technology-to-create-exceptional-client-experiences/) - 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...
- [Release Notes: New InvestorPOS Delivery platform enhancements for April 2015](https://investorcom.com/release-notes-new-investorpos-delivery-platform-enhancements-for-april-2015/) - The following features were released to the InvestorPOS Delivery™ solution on April 27th, 2015.
- [Investment Executive Article - Newton’s principle of e-delivery](https://investorcom.com/investment-executive-article-newtons-principle-of-e-delivery/) - 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...
- [Investment Executive Article - “The Internet of (Financial) Things”](https://investorcom.com/investment-executive-article-the-internet-of-financial-things/) - The Internet of Things" (IoT) is the name given to the growing phenomenon of interconnectedness between regular household devices, brought on by advances in...
- [InvestorCOM Comments on CSA Proposal](https://investorcom.com/investorcom-comments-on-csa-proposal/) - InvestorCOM submitted its comments to the CSA's proposed amendments to National Instrument 41-101 General Prospectus Requirements in which Canadian...
- [InvestorCOM Acquires Distributech](https://investorcom.com/investorcom-acquires-distributech/) - InvestorCOM acquires Distributech and takes financial services industry online with digital communications NOVEMBER 10, 2015 – TORONTO, ON InvestorCOM Inc....
- [InvestorCOM announces partnership with Environics Analytics](https://investorcom.com/investorcom-announces-partnership-with-environics-analytics/) - Toronto, November 16, 2015 — InvestorCOM announced today a strategic partnership with Environics Analytics that will bring new expertise to the company and...
- [Aligned Capital Saves Time and Money with InvestoPOS Document Delivery Solution](https://investorcom.com/aligned-capital-saves-time-and-money-with-investopos-document-delivery-solution/) - Aligned Capital Partners Inc. (ACPI) is an independent securities dealer with head office in Burlington, Ontario and branch locations across Canada....
- [Financial Independence Hub: Get ready for POS3 and CRM2 deadlines](https://investorcom.com/financial-independence-hub-get-ready-for-pos3-and-crm2-deadlines/) - May 30, dealers and advisors will have to send investors Fund Facts disclosure documents before the investor decides to buy a fund. Until May 30, dealers...
- [News Release: InvestorCOM launches Stage 3 Point of Sale solution for large mutual fund dealers ahead of May 30 deadline](https://investorcom.com/news-release-investorcom-launches-stage-3-point-of-sale-solution-for-large-mutual-fund-dealers-ahead-of-may-30-deadline/) - InvestorCOM Inc. announced today that it has in the last four weeks rolled out its InvestorPOS™ Point of Sale Stage 3 (POS 3) offering for ten mutual fund...
- [Investment Executive Article – “Is Fintech a disruptor or an enabler?”](https://investorcom.com/investment-executive-article-is-fintech-a-disruptor-or-an-enabler/) - Many view the role of financial technology or fintech in retail banking and wealth management as one of introducing new business models that disrupt...
- [InvestorCOM in the News: The key to navigating advisor fees is knowing what you don't know](https://investorcom.com/investorcom-in-the-news-the-key-to-navigating-advisor-fees-is-knowing-what-you-dont-know/) - This article first appeared in Yahoo Finance and featured an interview with Anthony Boright, President of InvestorCOM Inc.
- [InvestorCOM President, Anthony Boright, discusses the new CRM2 rules affecting fee disclosure on SiriusXM Radio with Brian Sellery](https://investorcom.com/investorcom-president-anthony-boright-discusses-the-new-crm2-rules-affecting-fee-disclosure-on-siriusxm-radio-with-brian-sellery/) - InvestorCOM President, Anthony Boright, discusses the new CRM2 rules affecting fee disclosure on SiriusXM Radio with Brian Sellery
- [InvestorCOM profiled on BNN News for its role in helping financial services address new CRM2 disclosure regulation](https://investorcom.com/investorcom-profiled-on-bnn-news-for-its-role-in-helping-financial-services-address-new-crm2-disclosure-regulation/) - Anthony Boright, president of InvestorCOM, joins BNN to discuss what client statements from financial institutions will look like now that the CRM2 rules...
- [InvestorCOM profiled on BNN News to review the financial industry views on embedded commissions and CRM3](https://investorcom.com/investorcom-profiled-on-bnn-news-to-review-the-financial-industry-views-on-embedded-commissions-and-crm3/) - BNN News to review the financial industry views on embedded commissions and CRM3 David Reeve, CEO of InvestorCOM, joins BNN to discuss the possibility of...
- [It's crunch time for adviser fee disclosure](https://investorcom.com/its-crunch-time-for-adviser-fee-disclosure/) - The final date for dealers to provide new investment statements to their clients is July 14, 2017. Known as CRM2 (The Client Relationship Model – Phase 2),...
- [InvestorCOM in the News: Active vs passive investing](https://investorcom.com/investorcom-in-the-news-active-vs-passive-investing/) - InvestorCOM in the News: Active vs passive investing This article appeared on BNN and featured quotes from Anthony Boright, President of InvestorCOM Inc.
- [InvestorCOM in the News: Is financial services the next music industry?](https://investorcom.com/investorcom-in-the-news-is-financial-services-the-next-music-industry/) - This article appeared on Investment Executive and featured Anthony Boright, President of InvestorCOM Inc.
- [InvestorCOM in the News: Regulators Using AI To Boost Their Effectiveness](https://investorcom.com/investorcom-in-the-news-regulators-using-ai-to-boost-their-effectiveness/) - InvestorCOM in the News: Regulators Using AI To Boost Their Effectiveness Moolala's Bruce Sellery talks to Anthony Boright about the future of technology on...
- [Why segregated funds reporting fees in dollar amounts is crucial for your portfolio](https://investorcom.com/why-segregated-funds-reporting-fees-in-dollar-amounts-is-crucial-for-your-portfolio/) - David Reeve, CEO and co-Founder of InvestorCOM, joins BNN's Catherine Murray for a look at the changes in store for segregated funds and how fees shown in...
- [Investorcom Enhances Bindery with Standard/Horizon Finishing System from KKBR Graphics](https://investorcom.com/investorcom-enhances-bindery-with-standard-horizon-finishing-system-from-kkbr-graphics/) - InvestorCOM, an investor communication solutions company, installed a HOF-400 with SPF/FC-200A, High-speed Sheet Feeder and booklet-making system. Purchased...
- [POS Stage 3 Pre-trade Delivery Coming Soon….](https://investorcom.com/pos-stage-3-pre-trade-delivery-coming-soon/) - The Canadian investment community awaits the CSA's final Stage 3 rules for National Instrument 81-101 which are due to be published in the next 4 weeks....
- [Making CRM2 a Positive Client Experience](https://investorcom.com/making-crm2-positive-client-experience/) - This week's IE article on CRM2 fostering stronger client relationships is a rare and welcome view on the regulation. Now that CRM2 is a reality, why not...
- [Consumers Should Have the Unfettered Choice of Paper or Electronic Statements](https://investorcom.com/consumers-should-have-the-unfettered-choice-of-paper-or-electronic-statements/) - The publication, referencing US legal and compliance guidelines, urges the careful consideration of many consumer choice considerations and ultimately lands...
- [Point of Sale Disclosure is Coming to Segregated Funds….](https://investorcom.com/point-of-sale-disclosure-is-coming-to-seg-funds/) - We are less than 3 weeks away from the May 30th deadline, where dealers must have a process to deliver Fund Facts prior to accepting trade instructions from...
- [CASL Deadline for Implied Consent](https://investorcom.com/casl-deadline-for-implied-consent/) - Canada's Anti-Spam Legislation, which came into effect July 1, 2014, is considered among the toughest in the world when it comes to regulating commercial...
- [What is Project Management Excellence?](https://investorcom.com/project-management-excellence-2/) - Project management excellence goes beyond the vital foundation of time, cost, scope and other traditional practices. At InvestorCOM and as a service...
- [What is ETL? Why do I care?](https://investorcom.com/what-is-etl-why-do-i-care/) - The term ETL stands for Extract-Transform-Load. It may sound technical but there are valuable business applications that rely on it. ETL represents a process or set of processes to conduct a number of data management activities. Most companies around the world will use ETL services directly or indirectly through a vend
- [Next Gen Financial Literacy](https://investorcom.com/next-gen-financial-literacy/) - When I asked him what he'd learned so far in school about managing money, I received a blank stare. Not unusual for a teenager. So, I followed with some...
- [The Journey to FinTech 3.0](https://investorcom.com/journey-fintech-3-0/) - Many startups are starting to look at a B2B pivot and partner rather than compete with the banks and large asset managers who have strong client control. We...
- [Is financial services the next music industry?](https://investorcom.com/financial-services-next-music-industry/) - Mt. Gox once handled 80 per cent of the world's bitcoin trades but filed for bankruptcy in 2014 after losing some 850,000 bitcoins – then worth around half...
- [Every Innovation Strategy Eventually Fails](https://investorcom.com/every-innovation-strategy-eventually-fails/) - Like many organizations, InvestorCOM has been increasingly focused on innovation as technology and the financial services industry in which we provide...
- [Are we in Digital Denial?](https://investorcom.com/are-we-in-digital-denial/) - In the Financial Services industry, we see e-migration levels that are below 10% - which means that one of the most basic elements of digital transformation...
- [How to Maximize Project Team Effectiveness?](https://investorcom.com/maximize-project-team-effectiveness/) - As part of any project initiation phase, a good Project Manager will assess and understand the team formation stage. I am sure most of you have heard the...
- [Please Sir, I Want Some More (e-Migration)](https://investorcom.com/please-sir-want-e-migration/) - October was a big month for me. With a few clicks of a button and the entering of an email address, an envelope and four sheets of paper each month finally...
- [2018 Technology Trends for Financial Service](https://investorcom.com/2018-technology-trends-financial-service/) - Unfortunately the AI applications that our teams are rolling out are not quite as exciting as Amazon Alexa, but they are targeting massive client challenges...
- [Diversity Report Card: Call to Action](https://investorcom.com/diversity-report-card-call-action/) - Even more concerning is the fact that females comprise only 19.1% of top senior executive roles in the FP500 companies (less than the 21.6% of female board...
- [Giving Digital Strategy a Little Push](https://investorcom.com/giving-digital-strategy-little-push/) - Moving up a level from managers and employees to executives and the organizations they lead, this article really resonates to us at InvestorCOM,...
- [AI supports human decision-making, it doesn’t replace it](https://investorcom.com/ai-supports-human-decision-making-doesnt-replace/) - When we launched our Publisher/AI solution earlier this year, we realized that Artificial Intelligence will only solve part of the problem. With our...
- [Frictionless Brands](https://investorcom.com/frictionless-brands/) - Creating a frictionless brand experience by tightly stitching together human and technology interactions is quickly becoming table stakes. Two of my recent...
- [Dealing with Adversity](https://investorcom.com/dealing-with-adversity/) - Like many Canadians, I've enjoyed watching the drama of the Winter Olympics unfold over the past few weeks.
- [Opening F/S Systems will be a Catalyst for Digital Transformation](https://investorcom.com/opening-f-s-systems-will-catalyst-digital-transformation/) - We discuss the role that Open Banking will have in transforming financial services to a digital model.
- [The Strategic Value of Blockchain](https://investorcom.com/the-strategic-value-of-blockchain/) - At our recent client conference, one of the sessions was on the strategic value of blockchain. We are exploring the application of blockchain with several...
- [The Role of Open Banking in Digital Transformation](https://investorcom.com/the-role-of-open-banking-in-digital-transformation/) - In order to balance the demands of new regulations and to drive digital transformation within their FIs, most leaders recognize the important role that...
- [E-advisors Outperform their Rivals by 40%](https://investorcom.com/e-advisors-outperform-their-rivals-by-40/) - Does the role of technology simply reduce costs and increase productivity? A recent report by Fidelity Clearing indicates that there are bigger benefits –...
- [Digital Transformation - winning the 4 fights](https://investorcom.com/digital-transformation-winning-the-4-fights/) - The Four Fights you have to win" is an excellent summary of the digital hurdles that lurk .
- [The Digital Flywheel funds Digital Transformation](https://investorcom.com/the-digital-flywheel-funds-digital-transformation/) - This McKinsey article highlights some challenges and opportunities with digital transformation in the banking sector. One of the most disturbing findings in...
- [International Organization of Securities Commissions (IOSCO) releases its "Principles on Point of Sale Disclosure" consultation paper](https://investorcom.com/international-organization-of-securities-commissions-iosco-releases-its-principles-on-point-of-sale-disclosure-consultation-paper-2/) - The International Organization of Securities Commissions Technical Committee's (TC) Standing Committee on the Regulation of Market Intermediaries (TCSC3)...

## Pages

- [Home](https://investorcom.com/) - InvestorCOM simplifies compliance so wealth firms can deliver better advice to more clients.
- [Client Focused Reforms: From Regulatory Expectations to Effective Execution](https://investorcom.com/client-focused-reforms-from-regulatory-expectations-to-effective-execution/) - The CSA and CIRO’s Phase 2 review offers a clearer picture of where wealth firms are falling short on KYC, KYP and suitability—and what regulators expect to see in practice. This concise two-page briefing breaks down the key findings from Joint CSA/CIRO Staff Notice 31-368 and highlights approaches firms can use to strengthen compliance without
- [Navigating Annuity Rollovers Compliantly](https://investorcom.com/navigating-annuity-rollovers-compliantly-the-business-case-the-regulatory-framework-and-how-to-execute-at-scale/) - The business case, the regulatory framework, and how to execute annuity rollovers at scale Retirement planning is entering a new era. More Americans are reaching retirement age than ever before, rollover activity continues to grow, and annuities are becoming an increasingly important part of the retirement income conversation. As investors shift their focus from accumulation
- [Annuities Briefing | July 2026 - Annuities at the Crossroads of Growth and Compliance](https://investorcom.com/annuities-briefing-july-2026/) - Annuity demand is reaching new heights. Regulatory expectations are rising with it. US individual annuity sales reached a record $464.1 billion in 2025. RILA sales climbed 20% year over year to $79.5 billion. As the market expands, firms face growing pressure to demonstrate that every recommendation is not merely suitable, but in the customer’s best
- [Resource Center](https://investorcom.com/learn/resource-center/) - Guides, insights, trends, and tips. Information to help you understand how purpose-built technology can help you meet your regulatory obligations.
- [About Us](https://investorcom.com/company/about-us/) - InvestorCOM provides regulatory compliance software and communications solutions for the financial services industry.
- [Leadership](https://investorcom.com/company/team/) - The InvestorCOM team provides regulatory compliance and communications solutions for wealth managers, insurers and asset managers.
- [Rollovers: Education versus Recommendation](https://investorcom.com/rollovers-education-versus-recommendation/) - When does investor education become a recommendation? This practical guide explores one of the most nuanced areas firms face today — distinguishing between providing general information and triggering a regulatory obligation tied to a recommendation. We break down: Key indicators that move communication from education to advice How context, personalization, and intent matter Risk
- [Explore](https://investorcom.com/demo-convergence/) - Capture the trillion-dollar rollover opportunity, with compliant, holistic advice
- [Explore](https://investorcom.com/explore/) - Capture the trillion-dollar rollover opportunity, with compliant, holistic advice
- [PeerCompare Annuities](https://investorcom.com/products/peercompare-annuities/) - InvestorCOM makes it easy for financial professionals to demonstrate they are acting in the best interest of retail clients when making investment recommendations.
- [Rollover Platform](https://investorcom.com/products/rollover-platform/) - The first compliance-led wealth-to-retirement platform, enabling advisors to prospect, recommend, and transfer retirement assets with confidence and scale.
- [Explore](https://investorcom.com/explore-old/) - Learn how a tech enabled compliance can help your firm uncover efficiencies and allow advisers to grow business.
- [PeerCompare](https://investorcom.com/products/peercompare/) - InvestorCOM makes it easy for financial professionals to demonstrate they are acting in the best interest of retail clients when making investment recommendations.
- [Security](https://investorcom.com/company/security/) - Security Built for a Growing Compliance Platform
- [Convergence](https://investorcom.com/solutions/convergence/) - Where Wealth, Retirement & Compliance Come Together.
- [Careers](https://investorcom.com/company/culture-careers/) - Looking to join a dynamic team that is passionate about compliance and making a difference? Grow your career at InvestorCOM.
- [Contact Us](https://investorcom.com/company/contact-us/) - Ready to start the conversation with InvestorCOM? Contact our team of regulatory compliance and communications experts - we're happy to help.
- [RolloverAnalyzer](https://investorcom.com/products/rolloveranalyzer/) - RolloverAnalyzer is an intuitive application for financial professionals to make best interest rollover recommendations and to quickly and consistently document, and disclose their analysis to clients.
- [Partners](https://investorcom.com/company/partners/) - InvestorCOM has partnerships with leading technology, advisory, and data providers.
- [Asset Managers](https://investorcom.com/solutions/asset-managers/) - We help asset managers meet regulatory compliance and communicate more effectively with clients.
- [Case Studies](https://investorcom.com/learn/case-studies/) - Learn how leading financial services firms use InvestorCOM to meet regulatory compliance.
- [Transforming Compliance into Business Value](https://investorcom.com/case-study-transforming-compliance-into-business-value/) - In the wake of escalating regulations like Reg BI and PTE 2020-02, many wealth firms have faced frictions that have hindered business growth. This practical case study highlights how two leading firms leveraged InvestorCOM to meet these requirements with confidence and transform their practices to better serve investors. Forward-looking firms like Snowden Lane and USA Financial gained
- [ComplianceExpress](https://investorcom.com/products/complianceexpress/) - InvestorCOM ComplianceExpress is a powerful app to manage document delivery and record-keeping transactions to support regulatory compliance requirements.
- [Gap Analysis](https://investorcom.com/gap/) - Learn how a tech enabled compliance can help your firm uncover efficiencies and allow advisers to grow business.
- [Request a Demo](https://investorcom.com/demo/) - Learn how a tech enabled compliance can help your firm uncover efficiencies and allow advisers to grow business.
- [Request a Demo](https://investorcom.com/demo-old/) - Sign up for a demo and see how our software and communications solutions can help you meet your compliance challenges.
- [Integrations](https://investorcom.com/company/integrations/) - Our software integrate seamlessly with your tech stack.
- [Navigating Regulatory Exams in the Age of Best Interest: Embracing Digital Compliance](https://investorcom.com/navigating-regulatory-exams-in-the-age-of-best-interest-embracing-digital-compliance/) - FINRA’s 2023 exam & risk monitoring report and the SEC’s Risk Alert on Reg BI make it clear that regulators continue to place focus on Reg BI’s Care Obligation.
- [Reg BI](https://investorcom.com/solutions/reg-bi/) - Compliance requires a mix of technology and processes. Meet your Reg BI obligations with confidence.
- [How Alphastar Leverages Technology for Compliance, Efficiency and Growth](https://investorcom.com/alphastar-leveraging-technology-for-compliance-efficiency-and-growth/) - Alphastar Capital Management provides discretionary portfolio management to individual client families and institutional investors through relationships with financial advisors. Alphastar manages a series of portfolio solutions designed for a wide range of investors with diverse wealth management objectives. Their compliance journey initially involved creating fillable PDF forms. While advisors were diligent in taking notes and
- [Thank You](https://investorcom.com/thank-you-2/) - Ready to start the conversation with InvestorCOM? Contact our team of regulatory compliance and communications experts - we're happy to help.
- [AccountCompare](https://investorcom.com/products/accountcompare/) - AccountCompare Make account type recommendations Request a Demo Make account type recommendations that are in your client’s best interest. AccountCompare offers a step-by-step process that eliminates complexities when making advisory and brokerage account recommendations. Simplify the way you gather client data and interpret best interest. Capture the rationale for account recommendations Regulation Best Interest requires
- [Best Interest Principles: DOL Fiduciary Rule and SEC Guidance](https://investorcom.com/best-interest-principles-dol-fiduciary-rule-and-sec-guidance/) - On-demand Webinar >> Is your firm keeping up with the latest regulatory expectations from the SEC and the Department of Labor? Join us for an insightful webinar that delves into the convergence of best interest principles across these regulatory bodies. On October 31, industry experts from Faegre Drinker, USA Financial and Oyster Consulting will discuss:
- [Understanding SEC’s 2024 Exam Priorities & Enforcement Agenda](https://investorcom.com/understanding-secs-2024-exam-priorities-enforcement-agenda/) - On-demand Webinar >> The SEC recently published its 2024 exam priorities, highlighting key examination and compliance priorities as it relates to many areas, including Regulation Best Interest and Investment Advisors. Later in the fall, the SEC’s enforcement branch reported 784 actions, with nearly $5 billion in fines, painting a clear need for action for the 2024
- [InvestorCOM RolloverAnalyzer License Agreement](https://investorcom.com/license-agreement/) - InvestorCOM RolloverAnalyzer License Agreement Thank you for your subscription. Your subscription will be processed during our standard business hours, Monday to Friday, from 8:30 AM to 5:00 PM ET. Once completed, we will notify you promptly. To finalize your subscription, kindly complete the form with the necessary information. We appreciate your cooperation.
- [DOL’s Fiduciary and Retrospective Review Expectations](https://investorcom.com/dols-fiduciary-and-retrospective-review-expectations/) - BDs and investment advisors are turning their full attention to best practices around the PTE 2020-02 retrospective review requirements, including steps to detect and take corrective action when required.
- [RolloverAnalyzer Subscription](https://investorcom.com/rolloveranalyzer-subscription/)
- [Compliance Case Study](https://investorcom.com/reg-bi-case-study/) - Regal Holdings Selects InvestorCOM to Meet Compliance for Regulation Best Interest
- [DOL’s Retrospective Review – A Practitioner’s Guide to Compliance](https://investorcom.com/dols-retrospective-review-a-practitioners-guide-to-compliance/) - Industry experts discuss the practical side of the DOL's retrospective review process that zeros in on the approach firms are taking to meet the requirement.
- [Webinar: Challenges and Best Practices for KYP Compliance](https://investorcom.com/webinar-challenges-best-practices-kyp-compliance/) - Industry experts from Assante, TD Wealth, and Manulife Securities discuss the challenges and best practices on how to focus on material changes and stay on top of their product shelves.
- [Client Focused Reforms](https://investorcom.com/solutions/client-focused-reforms/) - InvestorCOM helps firms meet the CFRs with our solutions for Best Interest Shelf Management & Monitoring, Rep KYP & Suitable Investment Recommendations, and Document Disclosure & Recordkeeping.
- [Reg BI Exams & Variable Annuities](https://investorcom.com/webinar-get-ready-2021-reg-bi-exams-variable-annuities/) - In January 2021, the SEC moved move beyond good faith expectations and expanded the scope of Reg BI exams. Watch this webinar to learn what to expect and best practices when recommending variable annuities.
- [SEC Guidance on Reasonably Available Alternatives](https://investorcom.com/sec-guidance-on-reasonably-available-alternatives/) - In this webinar, we discuss the SEC Staff Bulletin “Standards of Conduct for Broker-Dealers and Investment Advisers Care Obligations”, which features important guidance to assist firms and financial professionals in providing best interest recommendations to retail investors.
- [Insurers](https://investorcom.com/solutions/insurers/) - We help insurers meet regulatory compliance and communicate more effectively with clients.
- [Wealth Managers](https://investorcom.com/solutions/wealth-managers/) - We help wealth managers meet regulatory compliance and communicate more effectively with clients.
- [Client Relationship Model (CRM)](https://investorcom.com/solutions/client-relationship-model/) - Use InvestorCOM to meet compliance for CRM2 with our solutions for Document Disclosure & Recordkeeping, Client Reporting, and E-migration.
- [Point of Sale](https://investorcom.com/solutions/point-of-sale/) - InvestorCOM helps dealers meet POS3 requirements to electronically deliver Fund Facts documents to investors before the time of sale.
- [The Challenge of Implementing and Adopting Compliance Technology](https://investorcom.com/the-challenge-of-implementing-and-adopting-compliance-technology/) - Deploying new technology across any financial services enterprise is challenging and requires significant expertise and forethought. Learn how a client-first approach can help drive adoption and ROI.
- [Research and Insights](https://investorcom.com/solutions/asset-managers/research-and-insights/) - Get product comparison data and in-depth insights to stay ahead of your rivals and mitigate potential conflicts of interest.
- [PTE 2020-02](https://investorcom.com/solutions/pte-2020-02/) - The DOL's PTE 2020-02 expands the definition of fiduciary advice when recommending rollovers, making documentation and client disclosure an explicit requirement.
- [Regulation Best Interest Case Studies](https://investorcom.com/regulation-best-interest-case-studies/) - Issa Hanna and Brian Rubin from Eversheds Sutherland review hypothetical sales recommendations under Reg BI. Hear examples of how Reg BI may apply in practice, analyze the appropriate actions the registered reps took in these cases, and discuss opportunities for improvement.
- [ShelfMonitor](https://investorcom.com/products/shelfmonitor/) - Stay on top of material changes on your shelf with shelf management and custom monitoring that give you the information you need, when you need it.
- [Reg BI Exams and Enforcement](https://investorcom.com/reg-bi-exams-and-enforcement/) - With the SEC scrutinizing the placement of retail investors’ funds, and the first ever Reg BI enforcement case behind us, firms and financial professionals may be considering the value of automated solutions.
- [The CFRs: What's Working, What's Not and the Journey Ahead](https://investorcom.com/the-cfrs-whats-working-whats-not-and-the-journey-ahead/) - Have the implementations of the KYP and product due diligence requirements delivered better investor outcomes and recommendations? Or are firms and advisors still trying to figure it out?
- [Reg BI Enforcement, PTE 2020-02 Day 2 and What's Next](https://investorcom.com/reg-bi-enforcement-pte-2020-02-day-2-and-whats-next/) - With FINRA ramping up Reg BI examinations, the SEC focusing on Reasonably Available Alternatives, and PTE 2020-02 in effect, many firms are asking how best to prepare.
- [Implementing KYP: Dealer & Advisor Case Studies](https://investorcom.com/implementing-kyp-dealers-advisor-case-studies/) - There are less than 4 months remaining on the CFR journey. Join this webinar to hear case studies on how various investment dealers and advisors are tackling their KYP requirements.
- [News](https://investorcom.com/news/) - Read the latest news releases and media coverage from InvestorCOM.
- [Reg BI Day 2:  Implementation Considerations after June 30](https://investorcom.com/reg-bi-day-2-implementation-considerations-after-june-30/) - This whitepaper reviews the various aspects of Reg BI compliance efforts and provides a roadmap to firms on their implementation journey.
- [Webinar: Reg BI - What Good Faith Compliance Means](https://investorcom.com/webinar-what-good-faith-compliance-means/) - In this webinar our compliance experts discuss what Reg BI "Good Faith" compliance actually means and how you can position your Broker-Dealer for success.
- [Reg BI and the Future of Compliant Investment Recommendations](https://investorcom.com/reg-bi-future-of-compliant-regulations/) - Join this webinar to learn how can broker-dealers demonstrate they are acting in the best interest of retail clients when making investment recommendations.
- [Reg BI Day 2: Strategies and Implementation Considerations](https://investorcom.com/reg-bi-day-2-webinar/) - While there has been ample time and regulatory guidance to mitigate implementation challenges, sustained compliance with Reg BI raises a host of questions.
- [Electronic Disclosure: SEC Regulations and the Form CRS Business Case](https://investorcom.com/electronic-disclosure-sec-regulations-webinar/) - Before sending investor communications electronically, it's important for firms to understand the SEC's specific requirements. Join this webinar with Thompson Hine LLP to learn more.
- [Webinar: Reg BI Exams - The Care Obligation](https://investorcom.com/webinar-reg-bi-exams-the-care-obligation/) - A discussion on how broker-dealers can approach their Reg BI Care Obligation requirements from a compliance and technology perspective. Watch now.
- [Reg BI Exams - Reasonably Available Alternatives and Record Keeping](https://investorcom.com/webinar-reg-bi-exams-reasonably-available-alternatives-and-record-keeping/) - Our panel of experts discuss how firms can achieve a consistent and repeatable process for assessing costs and a reasonable range of alternatives at the time of a recommendation.
- [SEC and DOL: Rollover Requirements](https://investorcom.com/the-sec-and-dols-rollover-recommendation-requirements/) - Are you getting ready for the DOL's PTE 2020-02 December deadline? Join this webinar to understand the DOL and SEC's expectations, how to make compliant rollover recommendations, and more.
- [Making Compliant Rollover Recommendations](https://investorcom.com/making-compliant-rollover-recommendations/) - The DOL's Fiduciary Rule and PTE 2020-02 requirements may become the new industry standard. Hear experts from IRI, Eversheds Sutherland and Oyster Consulting discuss how you can meet your rollover requirements with confidence.
- [PTE 2020-02: Regulatory Compliance, Technology and Growth Opportunities](https://investorcom.com/webinar-pte-2020-02-regulatory-compliance-technology-growth-opportunities/) - Watch this on-demand webinar to hear industry-leading compliance and regulatory practitioners discuss the opportunities and challenges related to meeting the rollover requirements.
- [Reg BI and PTE 2020-02 Compliance Priorities](https://investorcom.com/reg-bi-and-pte-2020-02-compliance-priorities/) - Industry experts John Carl from Retirement Learning Center and Issa Hanna and Carol McClarnon from Eversheds Sutherland discuss Reg BI and PTE 2020-02 compliance priorities.
- [Strategies and Solutions to Meet the New Reg BI Compliance Requirements](https://investorcom.com/white-paper-reg-bi-strategies-solutions-compliance/) - Strategies and Solutions to Meet the New Reg BI Compliance Requirements
- [FINRA's 2022 Exam Report and the Focus on Reg BI](https://investorcom.com/finras-2022-exam-report-and-the-focus-on-reg-bi/) - With the FINRA 2022 Report on Examination and Risk Monitoring Program calling for more to be done on the Reg BI front, we invite you to hear industry experts from Faegre Drinker, Oyster Consulting and Scopus Financial Group discuss next steps.
- [Client Focused Reforms & KYP: Day 2 and Beyond](https://investorcom.com/client-focused-reforms-kyp-day-2-and-beyond/) - It's been just over a month since Client Focused Reforms (CFR) came into effect. Industry experts from Registrant Law, BMO Investments and Worldsource Wealth Management share their thoughts on the CFR journey and steps taken to tackle the KYP requirements.
- [Meeting Remote Compliance Challenges during COVID-19 and Beyond](https://investorcom.com/meeting-remote-compliance-challenges-during-covid-19/) - With the Reg BI deadline fast approaching, firms now face a bigger challenge: meeting compliance with a remote workforce. In this webinar, learn how wealth management firms can adapt to the new work-from-home realities and maintain strong compliance and record-keeping practices.
- [Wealth Management Compliance Challenges in a Remote Work Environment](https://investorcom.com/white-paper-wealth-management-compliance-challenges/) - Wealth Management Compliance Challenges in a Remote Work Environment Our new remote work environment has magnified common pain points for many compliance teams. While some have adjusted to the “new normal” and are implementing processes to maintain continuity, others may be overlooking compliance risks for a variety of reasons. Given the unique role of compliance,
- [Publisher](https://investorcom.com/products/publisher/) - Use InvestorCOM Publisher to compose, translate and publish regulatory documents such as MRFPs, Fund Facts, prospectuses, financial statements.
- [Investment Fund Continuous Disclosure](https://investorcom.com/solutions/continuous-disclosure/) - Meet compliance for Investment Fund Continuous Disclosure with InvestorCOM solutions for Automated Document Publishing, Reminder Letters, Preference Management, Digital and Print fulfillment.
- [Webinar: Client Focused Reforms - Implementing KYP](https://investorcom.com/webinar-client-focused-reforms-implementing-kyp/) - With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting their KYP requirements.
- [Compliance Case Study](https://investorcom.com/pos3-case-study/) - Canada’s largest independent integrated wealth management firms uses InvestorCOM to satisfy the POS regulation of pre-sale delivery for mutual fund Fund Facts.
- [Webinar: Client Focused Reforms and the KYP Challenge](https://investorcom.com/webinar-client-focused-reforms-and-the-kyp-challenge/) - The Client Focused Reforms introduces new KYP provisions for investment dealers and their representatives. Watch this Webinar On-Demand to discuss practical approaches and best practices.
- [Preparing for PTE 2020-02](https://investorcom.com/roundtable-pte-2020-02/) - Time is running out for meeting compliance for PTE 2020-02. By December 21, your firm's processes and documentation must be in place.
- [Roundtable: Reg BI and DOL's PTE 2020-02 - The Regulatory Future](https://investorcom.com/regbi-roundtable/) - Attendees will hear perspectives from our panel of industry experts, discuss compliance challenges, and consider strategies & solutions with industry peers.
- [Up and Running: Day 2 Industry Responses to Reg BI](https://investorcom.com/up-and-running-day-2-industry-responses-to-reg-bi/) - Regulatory and industry experts will provide insight on the impact of political change on Reg BI and the wealth management industry, regulatory gaps and priorities, and technology.
- [Privacy Policy](https://investorcom.com/company/privacy-policy/) - At InvestorCOM protecting your privacy is very important to us. Our goal is to treat the personal information you furnish us with the utmost respect.
- [Blog](https://investorcom.com/blogue/)
- [Legal](https://investorcom.com/legal/) - Legal | InvestorCOM
- [Reporting Case Study](https://investorcom.com/cdm-case-study/) - Continuous Disclosure Management (CDM) Program Delivers 75% Cost Savings
- [Reporting Case Study](https://investorcom.com/ccm-case-study/) - Print Vendor Consolidation Delivers $3.5 Million in Savings
- [Privacy & Accessibility](https://investorcom.com/company/privacy-accessibility/) - Privacy & Accessibility | InvestorCOM
- [IIROC CFR Workshop](https://investorcom.com/iiroc-workshop/) - This online event will examine the CFR obligations and explore implementation opportunities surrounding the new KYP obligations for dealers and advisors.
- [Solutions](https://investorcom.com/solutions/)
- [Products](https://investorcom.com/products/)
- [CFR Virtual Roundtable](https://investorcom.com/cfr-roundtable/) - Virtual Roundtable: Strategies and Solutions for Meeting Client Focused Reforms (CFR) invites wealth leaders to discuss how technology can help meet their firm's CFR requirements.
- [Reg BI Health Check](https://investorcom.com/reg-bi-health-check/) - Many broker-dealers still have questions about Reg BI compliance: How am I doing relative to the regulatory requirements and my peers? How will regulators react to the changes I am making? How do I prioritize next steps to ensure compliance? Get answers to these questions and more with our Reg BI Health Check. InvestorCOM
- [Learn](https://investorcom.com/learn/)
- [Corporate Responsibility](https://investorcom.com/company/corporate-responsibility/) - We provide sustainable and environmentally friendly regulatory and complaint business processes for the financial services and banking industries.
- [Your Registration is Confirmed](https://investorcom.com/your-registration-is-confirmed/) - Thank you for signing up for our Webinar. Your registration is confirmed! We will email you a calendar invite for the event within 24 hours. If you have any questions about your registration, please email info@investorcom.com
- [News & Events](https://investorcom.com/blog/) - Read the latest blog posts and articles published by InvestorCOM regulatory compliance and communications experts. Find out about our upcoming webinars and in-person events.
- [Videos](https://investorcom.com/videos/) - https://player.vimeo.com/video/347556521
- [Financial Services 2030 - Summary](https://investorcom.com/financial-services-2030-summary/) - Thank you for joining us at our annual conference which was held on Tuesday, June 4, 2019. We thank everyone who attended and hope you enjoyed our expert perspectives on what Canadian Financial Services will look like in the next decade. Our speakers commented on: trends that will shape the future; digital transformation strategies; how
- [Financial Services 2030 - Event Photos](https://investorcom.com/financial-services-2030-photos/) - CONFERENCE SUMMARY
- [FINANCIAL SERVICES 2030](https://investorcom.com/2019-client-conference/) - Registration is now closed For more information email dcarr-pries@investorcom.com Arcadian Court | Toronto Printable PDF DOWNLOAD PRESENTATION WATCH VIDEOS For information specific to the client conference please contact Robert Cosentini at Robert@iambic.ca What is Financial Services 2030? The Canadian financial services landscape is rapidly shifting. Firms need to understand the key themes and trends that
- [FINANCIAL SERVICES 2030](https://investorcom.com/financial-services-2030-registration/) - Registration
- [Sample Page](https://investorcom.com/sample-page/) - This is an example page. It's different from a blog post because it will stay in one place and will show up in your site navigation (in most themes). Most...
- [Registration](https://investorcom.com/conference-registration-2018/) - Name* First Last Company*Job Title*Email* Enter Email Confirm Email Daytime Phone Number*Dietary sensitivities or other commentsNameThis field is for...
- [News & Events](https://investorcom.com/news-events/) - Financial Services industry news and events, webinars, information about regulatory compliance and communications from industry leaders.
- [Disruption in the Wealth Management Industry](https://investorcom.com/disruption-in-the-wealth-management-industry/) - Disruption in the Wealth Management Industry
- [Company](https://investorcom.com/company/) - InvestorCOM is a leading provider of regulatory compliance software and communications solutions for the financial services industry.
- [Bridging to a Digital Tomorrow](https://investorcom.com/bridging-to-a-digital-tomorrow/) - Bridging to a Digital Tomorrow | InvestorCOM
- [2018 Client Conference](https://investorcom.com/conference2018/) - InvestorCOM's Annual Client Conference

## In The Presses

- [Rollover Advice Surges 150% At Top Wealth Management Firms, Study Says](https://investorcom.com/in-the-press/rollover-advice-surges-150-at-top-wealth-management-firms-study-says/)
- [Crossing the Digital Divide in Wealth Management](https://investorcom.com/in-the-press/crossing-the-digital-divide-in-wealth-management/)
- [How Advice Standards Have Converged 3 Years Into Reg BI](https://investorcom.com/in-the-press/14379/)
- [Technology Can Drive Better Financial Decisions](https://investorcom.com/in-the-press/technology-can-drive-better-financial-decisions/)
- [Riskalyze, InvestorCOM partner to bring rollover compliance workflows to wealth management firms](https://investorcom.com/in-the-press/riskalyze-investorcom-partner-to-bring-rollover-compliance-workflows-to-wealth-management-firms/)
- [Brokerages Need to Update Tech Systems to Show Reg BI Work to SEC](https://investorcom.com/in-the-press/brokerages-need-to-update-tech-systems-to-show-reg-bi-work-to-sec/)
- [Estancia Makes Strategic Investment in InvestorCOM](https://investorcom.com/in-the-press/estancia-makes-strategic-investment-in-investorcom/)
- [Monitoring for Reg BI Poses Bigger Challenge as US Regulators Get Serious](https://investorcom.com/in-the-press/monitoring-for-reg-bi-poses-bigger-challenge-as-us-regulators-get-serious/)
- [DC Advisory Advised InvestorCOM on its Investment by Estancia Capital Partners](https://investorcom.com/in-the-press/dc-advisory-advised-investorcom-on-its-investment-by-estancia-capital-partners/)
- [CFRs Lead to More KYP Scrutiny](https://investorcom.com/in-the-press/cfrs-lead-to-more-kyp-scrutiny/)
- [How Have the KYP CFRs Reshaped the Canadian Fund Landscape?](https://investorcom.com/in-the-press/how-have-the-kyp-cfrs-reshaped-the-canadian-fund-landscape/) - Research from InvestorCOM offers preliminary 12-month survey of significant changes
- [B-Ds Are Getting Reg BI Deficiency Letters From SEC, Compliance Exec Says](https://investorcom.com/in-the-press/b-ds-are-getting-reg-bi-deficiency-letters-from-sec-compliance-exec-says/) - Broker-dealers are receiving deficiency letters from Securities and Exchange Commission examiners asking them to “do more” to meet the requirements of Regulation Best Interest’s care obligation, Parham Nasseri, vice president of regulatory strategy at compliance software firm InvestorCOM.
- [RIA In A Box Partners With InvestorCOM For DoL PTE 2020-02 Rollover Compliance](https://investorcom.com/in-the-press/ria-in-a-box-partners-with-investorcom-for-dol-pte-2020-02-rollover-compliance/) - RIA In A Box announced a new partnership with InvestorCOM and its “RolloverAnalyzer” solution, just as the new PTE 2020-02 requirements take effect.
- [How to Handle the DOL’s New IRA Rollover Rule](https://investorcom.com/in-the-press/how-to-handle-the-dols-new-ira-rollover-rule/) - How are advisors coping with the new Department of Labor (DOL) rollover rules? Here are a dozen observations.
- [Things Investors Should Know as they Open their Annual Reports](https://investorcom.com/in-the-press/things-investors-should-know-as-they-open-their-annual-reports-2/) - When it comes to investment fees and transparency, investors should be paying closer attention to their annual investment reports, which now provide more in-depth information around performance and the true cost of investing.
- [InvestorCOM Grows Through Innovation](https://investorcom.com/in-the-press/investorcom-grows-through-innovation/) - David Reeve, interviewed by Rick Gamble for The Expositor, discusses InvestorCOM, challenges the company has faced and digital solutions for the financial services industry.
- [Get Ahead on the Client-focused Reforms](https://investorcom.com/in-the-press/get-ahead-on-the-client-focused-reforms/) - Advisors could begin to use technology now to stay onside of the CSA’s proposed client-focused reforms when they take effect.
- [Gain an Edge by Embracing Technology](https://investorcom.com/in-the-press/gain-an-edge-by-embracing-technology/) - Not only does adopting digital tools lead to happier clients, it also results in greater profitability and success for advisors.
- [CRM2 Causing Frustration](https://investorcom.com/in-the-press/crm2-causing-frustration/) - These rules have led to delays, confusion and too much information on clients’ statements.
- [The More Things Change, the More they Stay the Same](https://investorcom.com/in-the-press/the-more-things-change-the-more-they-stay-the-same/) - New fintech entrants are changing the financial services landscape, but this technology breakthrough has been years in the making.
- [Blockchain Technology Could Reshape the Financial Services Landscape](https://investorcom.com/in-the-press/blockchain-technology-could-reshape-the-financial-services-landscape/) - This new, disruptive technology will force us to rethink the role of banks, dealers and other financial services institutions in society.
- [Technology will Drive Better Disclosure to Investors](https://investorcom.com/in-the-press/technology-will-drive-better-disclosure-to-investors/) - Fees associated with investing is the new canary in the coal mine showing the disruption to advisers and their industry.
- [The Good News About More Regulation](https://investorcom.com/in-the-press/the-good-news-about-more-regulation/) - Although increasing compliance and regulation are perceived as burdens to many advisors and their firms, the business case for more efficient disclosure is compelling.
- [SEC Takes Aggressive New Step In Enforcing Reg BI](https://investorcom.com/in-the-press/sec-takes-aggressive-new-step-in-enforcing-reg-bi/) - It was only a matter of time before the Securities and Exchange Commission moved on from asking advisors to simply “make their best effort” to comply with Regulation Best Interest, to actually enforcing the regulation.
- [Half Of Firms Admit They're Just Getting Started On Fiduciary Rule Compliance](https://investorcom.com/in-the-press/half-of-firms-admit-theyre-just-getting-started-on-fiduciary-rule-compliance/) - More than 50% of broker-dealer and registered investment advisory firms are still in the earliest days of planning to meet the U.S. Department of Labor’s far-reaching fiduciary rule, despite the looming December 20 deadline.
- [DOL Rule Violators Could Get 10-Year Rollover Advice Suspension, Attorney Says](https://investorcom.com/in-the-press/dol-rule-violators-could-get-10-year-rollover-advice-suspension-attorney-says/) - Enforcement of the Department of Labor fiduciary rule and prohibited transaction exemption could be even worse than some firms anticipated.
- [Your Money Month: Top Questions Every Investor Should Ask Their Financial Advisor](https://investorcom.com/in-the-press/your-money-month-top-questions-every-investor-should-ask-their-financial-advisor/) - Dave Carr-Pries, VP of client engagement, InvestorCOM tells BNN some of the top questions all investors should ask their financial advisors.
- [Canadian Company InvestorCOM is Helping Revamp Your Client Statement](https://investorcom.com/in-the-press/canadian-company-investorcom-is-helping-revamp-your-client-statement/) - Anthony Boright, president of InvestorCOM, joins BNN to discuss what client statements from financial institutions will look like now that the CRM2 rules are in full force.
- [The Key to Navigating Advisor Fees is Knowing What You Don't Know](https://investorcom.com/in-the-press/the-key-to-navigating-advisor-fees-is-knowing-what-you-dont-know/) - A financial advisor can be very helpful, but you shouldn’t blindly trust the person handling your money.
- [Disruption is Best Done From the Inside, a Merged Startup Discovers](https://investorcom.com/in-the-press/disruption-is-best-done-from-the-inside-a-merged-startup-discovers/) - It is winning in the fintech world by thinking like a startup while behaving like a long-time industry partner.
- [Robo-Advisors Now Seeking High Net Worth Clients](https://investorcom.com/in-the-press/robo-advisors-now-seeking-high-net-worth-clients/) - Robo-advisors are not just for younger folks who don’t have much money to invest.
- [InvestorCOM acquires BlueID](https://investorcom.com/in-the-press/investorcom-acquires-blueid/) - The recent focus of investor communications firm BlueID has been on digital migration strategies and CRM2.
- [Things Investors Should Know as They Open Their Annual Reports](https://investorcom.com/in-the-press/things-investors-should-know-as-they-open-their-annual-reports/) - When it comes to investment fees and transparency, investors should be paying closer attention to their annual investment reports.
- [InvestorCOM Announces New Appointments](https://investorcom.com/in-the-press/investorcom-announces-new-appointments/) - Glenn Reiner, Parham Nasseri and Karen Makedon have all joined the Toronto-based fintech provider.
- [InvestorCOM Launches Reg BI Compliance Platform](https://investorcom.com/in-the-press/investorcom-launches-reg-bi-compliance-platform/) - The SEC has confirmed that the COVID-19 pandemic will not halt the implementation of the SEC’s Regulation Best Interest, which has a general compliance date of June 30.
- [Why Wealth Management Needs RegTech](https://investorcom.com/in-the-press/why-wealth-management-needs-regtech/) - Because of the June 30, Regulation Best Interest deadline in the US approaches David Reeve, CEO of InvestorCOM, explains the benefits of using RegTech solutions in wealth management.
- [Fintechs Zero in on Reg BI as Deadline Looms](https://investorcom.com/in-the-press/fintechs-zero-in-on-reg-bi-as-deadline-looms/) - The deadline for the Securities and Exchange Commission’s Regulation Best Interest is tomorrow, fintech's have been responding with tech tools to get their broker-dealer and adviser clientele ready.
- [Choosing Funds for Clients? Get Ready to Show Your Work](https://investorcom.com/in-the-press/choosing-funds-for-clients-get-ready-to-show-your-work/) - Beginning next year, the CFRs will require you to demonstrate that you’ve considered a “reasonable range of alternatives.”
- [Are You the Keymaster?](https://investorcom.com/in-the-press/are-you-the-keymaster/) - New regulations will amplify investment dealers’ roles as product gatekeepers.
- [What KYP Reforms Mean for Advisors](https://investorcom.com/in-the-press/what-kyp-reforms-mean-for-advisors/) - Experts at an InvestorCOM webinar discussed how firms are preparing for the client-focused reforms.
- [Reg BI Best Practice Compliance Tips](https://investorcom.com/in-the-press/reg-bi-best-practice-compliance-tips/) - Lawyer David Porteous and consultant Ed Wegener offer some best practices compliance tips for the Securities and Exchange Commission’s Regulation Best Interest.
- [InvestorCOM Soups Up Investment Comparison Application for Advisors](https://investorcom.com/in-the-press/investorcom-soups-up-investment-comparison-application-for-advisors/) - Algorithm-based peer ratings capability promises to take the guesswork out of KYP-compliant investment recommendations.
- [Firms and Advisors get Prepped for KYP](https://investorcom.com/in-the-press/firms-and-advisors-get-prepped-for-kyp/) - The industry is formalizing know-your-product processes.
- [Why Technology Will Play a Critical Role in Compliance with New KYP Rules](https://investorcom.com/in-the-press/why-technology-will-play-a-critical-role-in-compliance-with-new-kyp-rules/) - Some technology tools will make it easier for advisors to comply with the new regulations, which require them to take reasonable steps to know the products they’re recommending.
- [How Dealer is Staying Ahead of the Curve When it Comes to CFRs](https://investorcom.com/in-the-press/how-dealer-is-staying-ahead-of-the-curve-when-it-comes-to-cfrs/) - Education, technology, and advisors' enthusiasm to learn means firm is ahead of end-of-year deadline.
- [Why Some Firms are Still Scrambling after CFRs Deadline](https://investorcom.com/in-the-press/why-some-firms-are-still-scrambling-after-cfrs-deadline/) - While many are already technically compliant, regtech firm finds an unsettling number still face operational challenges and risks.
- [Most Dealers are Installing CFR Software – But a Few Will 'Wait and See'](https://investorcom.com/in-the-press/most-dealers-are-installing-cfr-software-but-a-few-will-wait-and-see/) - With the CSA year-end deadline looming, a few holdouts are still waiting to see what the regulators will do
- [CFR Sweep to Provide Clarity to Industry](https://investorcom.com/in-the-press/cfr-sweep-to-provide-clarity-to-industry/) - Regulators will review “a sizable number” of firms, a panellist said at InvestorCOM KYP webinar.
- [Digital Digest: The Latest Tech News – RIA In A Box, InvestorCOM](https://investorcom.com/in-the-press/digital-digest-the-latest-tech-news-ria-in-a-box-investorcom/) - RIA in a Box, a Software-as-a-Service (SaaS) provider of compliance and operational software to the wealth management industry, has partnered with InvestorCOM, which also delivers regulatory compliance software for financial services.
- [The Role of Tech in Post-pandemic Wealth](https://investorcom.com/in-the-press/the-role-of-tech-in-post-pandemic-wealth/) - Leverage digital momentum to capitalize on trends.

## Safe Redirect Manager

- [Auto Draft](https://investorcom.com/products/continuous-disclosure-management/)
- [Auto Draft](https://investorcom.com/products/client-communication-management/)
- [Auto Draft](https://investorcom.com/win)
- [Auto Draft](https://investorcom.com/en/investorcom-recognized-in-the-2021-regtech100-as-a-leader-in-regulatory-compliance/)
- [Auto Draft](https://investorcom.com/?post_type=redirect_rule&p=10743)
- [Auto Draft](https://investorcom.com/en/company/team/)
- [Auto Draft](https://investorcom.com/en/learn/resource-center/)
- [Auto Draft](https://investorcom.com/en/ccm-case-study/)
- [Auto Draft](https://investorcom.com/en/pos3-case-study/)
- [Auto Draft](https://investorcom.com/en/cdm-case-study/)
- [Auto Draft](https://investorcom.com/en/dox-case-study/)
- [Auto Draft](https://investorcom.com/en/solutions/reporting/)
- [Auto Draft](https://investorcom.com/en/solutions/compliance/)
- [Auto Draft](https://investorcom.com/en/solutions/publishing/)
- [Auto Draft](https://investorcom.com/en/solutions/marketing/)
- [Auto Draft](https://investorcom.com/en/company/corporate-responsibility/)
- [Auto Draft](https://investorcom.com/en/company/our-clients/)
- [Auto Draft](https://investorcom.com/en/company/partners/)
- [Auto Draft](https://investorcom.com/en/company/about-us/)
- [Auto Draft](https://investorcom.com/en/legal/)
- [Auto Draft](https://investorcom.com/en/privacy-accessibility/)
- [Auto Draft](https://investorcom.com/en/contact-us/)
- [Auto Draft](https://investorcom.com/en/learn/case-studies/)
- [Auto Draft](https://investorcom.com/en/)
- [Auto Draft](https://investorcom.com/regbi/)
- [Auto Draft](https://investorcom.com/news-events/)
- [Auto Draft](https://investorcom.com/en/financial-services-2030-registration/)
- [Auto Draft](https://investorcom.com/FS2030)
- [Auto Draft](https://investorcom.com/company/privacy/)
- [Auto Draft](https://investorcom.com/company/legal/)
- [Auto Draft](https://investorcom.com/resources/media-kit/)
- [Auto Draft](https://investorcom.com/resources/brochures/)
- [Auto Draft](https://investorcom.com/resources/research/)
- [Auto Draft](https://investorcom.com/resources/videos/)
- [Auto Draft](https://investorcom.com/resources/case-studies/)
- [Auto Draft](https://investorcom.com/resources/)
- [Auto Draft](https://investorcom.com/services/production/)
- [Auto Draft](https://investorcom.com/services/client-services/)
- [Auto Draft](https://investorcom.com/services/technology)
- [Auto Draft](https://investorcom.com/services/data-analytics/)
- [Auto Draft](https://investorcom.com/services/)
- [Auto Draft](https://investorcom.com/solutions/ccm/)
- [Auto Draft](https://investorcom.com/solutions/publisher/)
- [Auto Draft](https://investorcom.com/solutions/dox/)
- [Auto Draft](https://investorcom.com/solutions/investorpos/)
- [Auto Draft](https://investorcom.com/company/#about-us)
- [Auto Draft](https://investorcom.com/company/)
- [Auto Draft](https://investorcom.com/company/careers/)
- [Auto Draft](https://investorcom.com/company/associations/)
- [Auto Draft](https://investorcom.com/company/our-clients/)
- [Auto Draft](https://investorcom.com/resources/demo-registration/)
- [Auto Draft](https://investorcom.com/company/leadership/)
- [Auto Draft](https://investorcom.com/Bridging/)
- [Auto Draft](https://investorcom.com/bridging/)
- [Auto Draft](https://investorcom.com/Bridging)
- [Auto Draft](https://investorcom.com/bridging)

## Categories

- [Uncategorized](https://investorcom.com/category/uncategorized/)
- [News](https://investorcom.com/category/news/) - News
- [Events](https://investorcom.com/category/events/) - Events
- [Blog](https://investorcom.com/category/blog/) - Blog
- [White Papers](https://investorcom.com/category/white-papers/)
- [Resources](https://investorcom.com/category/resources/)

## Tags

- [Industry](https://investorcom.com/tag/industry/) - Industry
- [Delivery](https://investorcom.com/tag/delivery/) - Delivery
- [Financial Services](https://investorcom.com/tag/financial-services/) - Financial Services
- [Regulatory](https://investorcom.com/tag/regulatory/) - Regulatory
- [Digital](https://investorcom.com/tag/digital/) - Digital
- [Events](https://investorcom.com/tag/events/) - Events
- [Publishing](https://investorcom.com/tag/publishing/) - Publishing
- [Technology](https://investorcom.com/tag/technology/)
- [technology investments](https://investorcom.com/tag/technology-investments/)
- [opentext](https://investorcom.com/tag/opentext/)
- [crawford technologies](https://investorcom.com/tag/crawford-technologies/)
- [avanti systems](https://investorcom.com/tag/avanti-systems/)
- [kyp](https://investorcom.com/tag/kyp/)
- [kyc](https://investorcom.com/tag/kyc/)
- [shelfmonitor](https://investorcom.com/tag/shelfmonitor/)
- [compliance software](https://investorcom.com/tag/compliance-software/)
- [client focused reforms](https://investorcom.com/tag/client-focused-reforms/)
- [regtech](https://investorcom.com/tag/regtech/)
- [audit requirements](https://investorcom.com/tag/audit-requirements/)
- [investment dealers](https://investorcom.com/tag/investment-dealers/)
- [mutual fund](https://investorcom.com/tag/mutual-fund/)
- [wealth transfer](https://investorcom.com/tag/wealth-transfer/)
- [robo advisors](https://investorcom.com/tag/robo-advisors/)
- [wealth management](https://investorcom.com/tag/wealth-management/)
- [wealth advisor](https://investorcom.com/tag/wealth-advisor/)
- [digital transformation](https://investorcom.com/tag/digital-transformation/)
- [millennials](https://investorcom.com/tag/millennials/)
- [regulatory audits](https://investorcom.com/tag/regulatory-audits/)
- [fintech](https://investorcom.com/tag/fintech/)
- [regulatory requirement](https://investorcom.com/tag/regulatory-requirement/)
- [disclosure](https://investorcom.com/tag/disclosure/)
- [fund facts](https://investorcom.com/tag/fund-facts/)
- [compliance](https://investorcom.com/tag/compliance/)
- [csa](https://investorcom.com/tag/csa/)
- [hybrid advisor](https://investorcom.com/tag/hybrid-advisor/)
- [Regbi](https://investorcom.com/tag/regbi/)
- [regulatory compliance](https://investorcom.com/tag/regulatory-compliance/)
- [regulation best interest](https://investorcom.com/tag/regulation-best-interest/)
- [Compliance platform](https://investorcom.com/tag/compliance-platform/)
- [Reg BI](https://investorcom.com/tag/reg-bi/)
- [COVID-19](https://investorcom.com/tag/covid-19/)
- [SEC](https://investorcom.com/tag/sec/)
- [Mary Shapiro](https://investorcom.com/tag/mary-shapiro/)
- [Speech](https://investorcom.com/tag/speech/)
- [fund changes](https://investorcom.com/tag/fund-changes/)
- [Webinar](https://investorcom.com/tag/webinar/)
- [Canada's Top SMEs](https://investorcom.com/tag/canadas-top-smes/)
- [Form CRS](https://investorcom.com/tag/form-crs/)
- [edelivery](https://investorcom.com/tag/edelivery/)
- [reasonably available alternatives](https://investorcom.com/tag/reasonably-available-alternatives/)
- [morningstar](https://investorcom.com/tag/morningstar/)
- [RAA](https://investorcom.com/tag/raa/)
- [broker-dealer](https://investorcom.com/tag/broker-dealer/)
- [care obligation](https://investorcom.com/tag/care-obligation/)
- [ROI](https://investorcom.com/tag/roi/)
- [CFR](https://investorcom.com/tag/cfr/)
- [Hold recommendations](https://investorcom.com/tag/hold-recommendations/)
- [Best Interest Obligation](https://investorcom.com/tag/best-interest-obligation/)
- [investment recommendations](https://investorcom.com/tag/investment-recommendations/)
- [data challenge](https://investorcom.com/tag/data-challenge/)
- [financial advisor](https://investorcom.com/tag/financial-advisor/)
- [US Board of Advisors](https://investorcom.com/tag/us-board-of-advisors/)
- [Donna Fontana](https://investorcom.com/tag/donna-fontana/)
- [Doug Trott](https://investorcom.com/tag/doug-trott/)
- [IIROC](https://investorcom.com/tag/iiroc/)
- [MFDA](https://investorcom.com/tag/mfda/)
- [Self Regulatory Organization](https://investorcom.com/tag/self-regulatory-organization/)
- [regtech100](https://investorcom.com/tag/regtech100/)
- [Variable Annuities](https://investorcom.com/tag/variable-annuities/)
- [examinations](https://investorcom.com/tag/examinations/)
- [celent](https://investorcom.com/tag/celent/)
- [Compliance Technology](https://investorcom.com/tag/compliance-technology/)
- [materiality index](https://investorcom.com/tag/materiality-index/)
- [material change](https://investorcom.com/tag/material-change/)
- [board of advisors](https://investorcom.com/tag/board-of-advisors/)
- [rob dearman](https://investorcom.com/tag/rob-dearman/)
- [OSC](https://investorcom.com/tag/osc/)
- [Top employer](https://investorcom.com/tag/top-employer/)
- [award](https://investorcom.com/tag/award/)
- [Tom Selman](https://investorcom.com/tag/tom-selman/)
- [exams](https://investorcom.com/tag/exams/)
- [Reg BI examinations](https://investorcom.com/tag/reg-bi-examinations/)
- [Canada's Top Employer](https://investorcom.com/tag/canadas-top-employer/)
- [reasonable range of alternatives](https://investorcom.com/tag/reasonable-range-of-alternatives/)
- [DOL](https://investorcom.com/tag/dol/)
- [PTE 2020-02](https://investorcom.com/tag/pte-2020-02/)
- [Rollovers](https://investorcom.com/tag/rollovers/)
- [power of the peer](https://investorcom.com/tag/power-of-the-peer/)
- [rollover](https://investorcom.com/tag/rollover/)
- [Shelf Management](https://investorcom.com/tag/shelf-management/)
- [DOX](https://investorcom.com/tag/dox/)
- [NSCP](https://investorcom.com/tag/nscp/)
- [Canadian RegTech Award](https://investorcom.com/tag/canadian-regtech-award/)
- [retrospective review](https://investorcom.com/tag/retrospective-review/)
- [DOL PTE 2020-02](https://investorcom.com/tag/dol-pte-2020-02/)
- [RolloverAnalyzer](https://investorcom.com/tag/rolloveranalyzer/)
- [Fiduciary Rule](https://investorcom.com/tag/fiduciary-rule/)
- [Best Interest](https://investorcom.com/tag/best-interest/)
- [Account type recommendations](https://investorcom.com/tag/account-type-recommendations/)
- [Best Interest Recommendations](https://investorcom.com/tag/best-interest-recommendations/)
- [Costs Analysis](https://investorcom.com/tag/costs-analysis/)
- [Documentation](https://investorcom.com/tag/documentation/)
- [Department of Labor](https://investorcom.com/tag/department-of-labor/)
- [FINRA](https://investorcom.com/tag/finra/)
- [finra exams](https://investorcom.com/tag/finra-exams/)
- [Investorcom](https://investorcom.com/tag/investorcom/)
- [broker dealers](https://investorcom.com/tag/broker-dealers/)
- [chief compliance officers](https://investorcom.com/tag/chief-compliance-officers/)
- [Shelfanalyzer](https://investorcom.com/tag/shelfanalyzer/)
- [AccountCompare](https://investorcom.com/tag/accountcompare/)
- [Awards](https://investorcom.com/tag/awards/)
- [WealthManagement.com](https://investorcom.com/tag/wealthmanagement-com/)
- [Wealthies](https://investorcom.com/tag/wealthies/)
- [84-24. Retirement Security Rule](https://investorcom.com/tag/84-24-retirement-security-rule/)
- [Demo](https://investorcom.com/tag/demo/)
- [Rollover Analyzer](https://investorcom.com/tag/rollover-analyzer/)
- [PeerCompare](https://investorcom.com/tag/peercompare/)
- [Compiance](https://investorcom.com/tag/compiance/)
- [Tech Enabled Compliance](https://investorcom.com/tag/tech-enabled-compliance/)
- [Regulaiton Best Interest](https://investorcom.com/tag/regulaiton-best-interest/)
- [Conflict of Interest Obligation](https://investorcom.com/tag/conflict-of-interest-obligation/)
- [Compliance obligation](https://investorcom.com/tag/compliance-obligation/)
- [Account Compare](https://investorcom.com/tag/account-compare/)
- [SEC Enforcement](https://investorcom.com/tag/sec-enforcement/)
- [Rollover Platform](https://investorcom.com/tag/rollover-platform/)
- [Convergence](https://investorcom.com/tag/convergence/)