Tag: Best Interest

The Best Interest Era: What Every Firm Needs to Know

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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, [...] Read More

Best Interest Era: Implications, and Necessary Transformation

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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 […]

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Involving Customer Feedback to Enhance Our Products

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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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InvestorCOM Named a Finalist for the 2024 WealthManagement.com Industry Awards

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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 [...] Read More
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Implementation of Client Focused Reforms and Impact of Limited Product Shelves

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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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