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 […]
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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 […]
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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 […]
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