Tag: compliance

Compliance ROI Model

Reg BI: A Compliance ROI Model

With the introduction of Reg BI (Regulation Best Interest), wealth firms will be expected to implement the most significant wealth compliance reform in decades.  The Reg BI implementation deadline in the US has recently passed on June 30, 2020.  While most firms have met basic compliance requirements, many have deferred compliance technology decisions as the […]

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Are you Meeting Reg BI’s requirements in Good Faith

Are you Meeting Reg BI’s Requirements in Good Faith?

Much has changed for the wealth management industry in the last month. The COVID-19 crisis has translated into a the most unprecedented event of our lives, not to mention putting  an end to one of the longest bull markets in history since World War II. If figuring out how best to wrestle the oscillating markets […]

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Dave Carr-Pries

Taking the Noise out of KYP Compliance

In June 2018, InvestorCOM realized that, for the past seven years, they had been moving toward where the regulatory puck was headed. “When the OSC released its first discussion paper on client-focused reforms, we saw this new emphasis on the dealer shelf — specifically, the processes of how products are assessed and then monitored once […]

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