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 […]
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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 […]
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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.
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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.
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