On October 31, 2023, the Department of Labor (DOL) proposed a new rule aimed at “Improving Investment Advice for Workers & Retirees”. InvestorCOM hosted a webinar, with the wealth industry’s most trusted and seasoned experts, to discuss this new proposal. Prior to the webinar, InvestorCOM asked our webinar attendees the following poll questions. Here are the results.
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The third week of October 2023 marked a momentous occasion for me. It was my first ever attendance at the National Society of Compliance Professionals conference, and I must say, it did not disappoint.
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RolloverAnalyzer™ enables financial professionals to consistently document and disclose rollover recommendations. Toronto, ON, August 2, 2021 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today launched RolloverAnalyzer™ a cloud-based application for rollovers to help financial professionals comply with the SEC’s Reg BI and the Department of […]
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ON-DEMAND WEBINAR The DOL and the SEC are increasingly focusing on rollover recommendations and their impact on investors. The DOL’s PTE 2020-02 expands the definition of fiduciary advice when recommending rollovers. While the SEC encourages documentation, the DOL makes documentation an explicit requirement of its proposed prohibited transaction exemption for fiduciary investment advice. Get ready […]
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