InvestorCOM InvestorCOM
Demo
  • Solutions
        • By Regulation
          • Regulation Best Interest
          • Client Focused Reforms (NI 31-103)
          • Point of Sale (NI 81-101)
          • Investment Fund Continuous Disclosure (NI 81-106)
          • Client Relationship Model (NI 31-103)
        • By Industry
          • Wealth Managers
          • Asset Managers
          • Insurers
  • Products
    • ShelfMonitor
    • PeerCompare
    • ComplianceExpress
    • Publisher
    • DOX
    • e-CDM
    • CCM
  • Learn
    • Blog
    • Resource Center
    • Case Studies
    • Events
  • Company
    • About Us
    • Leadership
    • Partners
    • Careers
    • News
    • Contact Us
Demo

Tag: csa

Client Focused Reforms: A Dialogue with Richard Roskies, AUM Law

Blog February 16, 2021

Over the course of the Client Focused Reforms (CFR) journey, InvestorCOM has hosted a series of virtual forums for wealth management leaders to better understand the nuances of the regulation, openly discuss compliance challenges, and consider viable strategies for meeting the regulations. Anchored by these discussions, on February 2 2021, InvestorCOM hosted leading industry experts, […]

Read More

Solutions for Client-Focused Reforms

Blog November 11, 2019

With the recent publishing of new Client-Focused Reform regulation, advisors and dealers are challenged with a new compliance obligation.  Our IE article this month provides some background on the reg and strategies to remain compliant. With the recent publication of new client-focused reforms (CFRs) on Oct. 3, advisors may be considering how they will meet yet another […]

Read More

Recent Posts

  • InvestorCOM Named One of Canada’s Top Employers for 2021
  • Reg BI: A Dialogue with Issa Hanna, Eversheds Sutherland
  • Webinar: Reg BI Exams – The Care Obligation
  • Reg BI: A Dialogue with Tom Selman, Scopus Financial Group
  • The ROI of Compliance Technology

Archives

 

Contact Us

InvestorCOM Inc.
+1 (800) 361-9494
info@investorcom.com

Who We Help

  • Wealth Managers
  • Asset Managers
  • Insurers

Regulations

  • Regulation Best Interest
  • Client Focused Reforms
  • Point of Sale
  • Investment Fund Continuous Disclosure
  • Client Relationship Model

Learn

  • Blog
  • Resource Center
  • Case Studies
  • Events

Company

  • About Us
  • Leadership
  • Partners
  • Careers
  • News

© 2021 InvestorCOM Inc. All rights reserved.

  • Privacy & Accessibility
  • Legal

Search Site

Error: Enter a search term

  • Solutions
    • By Regulation
      • Reg BI
      • Client Focused Reforms
      • POS3
      • Investment Fund Continuous Disclosure
      • CRM2
    • By Industry
      • Wealth Managers
      • Asset Managers
      • Insurers
  • Products
    • ShelfMonitor
    • PeerCompare
    • ComplianceExpress
    • Publisher
    • DOX
    • e-CDM
    • CCM
  • Learn
    • Blog
    • Resource Center
    • Case Studies
    • Events
  • Company
    • About Us
    • Leadership
    • Partners
    • Careers
    • News
    • Contact Us
Our website uses cookies. By using our website you agree to our Privacy Policy.
AcceptPrivacy Policy