Tag: FINRA

Leading Through Uncertainty: What’s Top of Mind for Today’s Wealth Leaders

Events
InvestorCOM Roundtable Summary: Discover how senior wealth executives are turning uncertainty into opportunity. In a rapidly shifting regulatory environment, today’s wealth and compliance leaders aren’t just reacting to change — they’re driving it. This exclusive summary, based on a peer-led conversation captures key insights from across the wealth industry. What’s inside: How CCOs are navigating [...] Read More

IRA Rollover Opportunity in Wealth Management

White Papers
Unlock the $1.3 Trillion Opportunity in IRA Rollovers: Drive Asset Growth. Simplify Compliance. Empower Advisors. With over 10 million rollovers expected to move $1.3 trillion in assets by 2025, the IRA rollover market presents a massive growth opportunity for wealth firms. But without the right tools, it’s also a source of friction, delay, and compliance risk. [...] Read More

Prove Rollover Compliance with Confidence

White Papers
The SEC’s scrutiny is rising, and wealth firms can no longer rely on manual processes, fragmented data, and inconsistent documentation. It's time for a smarter solution. Download our guide to discover how you can: Eliminate manual documentation and reduce regulatory risk Leverage guided workflows to streamline rollover recommendations Improve advisor-client interactions with dynamic data collection [...] Read More

Compare Reasonably Available Alternatives with Confidence

White Papers
The SEC’s scrutiny is rising, and wealth firms can no longer rely on manual processes, fragmented data, and inconsistent documentation. It's time for a smarter solution. Download our guide to discover how you can: Find reasonably available alternatives Compare reasonably available alternatives with due diligence Enhance efficiency and compliance through automated documentation Deliver and track [...] Read More

Make Account Type Recommendations with Confidence

White Papers
The SEC’s scrutiny is rising, and wealth firms can no longer rely on manual processes, fragmented data, and inconsistent documentation. It's time for a smarter solution. Download our guide to discover how you can: Assess account type appropriateness Capture investor interest and generate structured, audit-ready reports Document rationale and centralize record-keeping Deliver and track disclosures [...] Read More

Prove Best Interest Compliance with Confidence

White Papers
A Digital Playbook for Passing Audits and Exams The SEC’s 2025 exam priorities are clear: Proving best interest compliance is no longer optional. You’ve built the policies—but can you prove they’re being followed? Manual processes, fragmented data, and inconsistent documentation still plague many firms. This guide breaks down how leading wealth firms are leveraging automation [...] Read More

[Infographic] The Fiduciary Rule Rollercoaster: Compliance Strategies for 2025

White Papers
The fiduciary rule continues to be a shifting regulatory challenge for financial professionals, with new developments under the Trump administration adding further complexity. The ongoing uncertainty emphasizes the need for firms to stay proactive, prepare for multiple compliance scenarios, and leverage technology for efficient oversight. Download our latest infographic to explore key compliance strategies that [...] Read More

Reg BI & Form CRS: What FINRA Expects in 2025 and How to Prepare

White Papers
The 2025 FINRA Regulatory Oversight Report has highlighted significant compliance deficiencies in Regulation Best Interest (Reg BI) and Form CRS compliance. As FINRA raises the bar, wealth firms must evolve their compliance posture to mitigate risks and foster growth in their practice. This handbook breaks down the deficiencies, and the effective practices that firms can [...] Read More

DOL Fiduciary Obligations & SEC Guidance

Blog

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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NSCP 2023 Recap

Blog

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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