Firms that deliver on digital documentation and disclosure will reduce audit risk The wealth industry has faced an unprecedented wave of new regulations over the last decade, and 2022 may […]
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Throughout the CFR journey, InvestorCOM has met with regulators, wealth leaders and many compliance experts around the principles-based elements of the reforms. We are proud to have helped dozens of […]
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Firms use InvestorCOM’s compliance platform to satisfy KYP requirements: assess and monitor product shelf for material change and compare and document reasonable product alternatives. Toronto, ON, November 23, 2021 – […]
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In response to recent know-your-product (KYP) regulations on both sides of the border, some of the industry has focused on reducing product shelves and in some cases eliminating third-party products […]
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Why segmenting product shelves into peer groups can help meet regulatory challenges The requirement for advisors to have enhanced KYP processes is ramping up with the client-focused reforms. Beginning in […]
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Recently, InvestorCOM hosted a webinar with “Client Focused Reforms: Implementing KYP” featuring Rebecca Cowdery and Michael Taylor from BLG, Richard Wylie from Assante Wealth Management, and Parham Nasseri and Dave […]
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ON-DEMAND WEBINAR With the CFR implementation deadline fast approaching, many firms are looking for practical strategies for meeting the remaining elements of the CFRs. Watch this 60-minute on-demand webinar to […]
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The Client Focused Reforms and the introduction of the new KYP requirements place an explicit obligation on firms to reasonably assess, approve and monitor the securities (or products) made available […]
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Over the past twelve months, InvestorCOM has hosted several forums for firms to exchange ideas on how they plan to meet the new KYP and enhanced suitability requirements of the […]
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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, […]
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