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Tag: Reg BI

Webinar: 2021 Reg BI Exams & Variable Annuities

Events January 8, 2021

Webinar: Thursday January 28, 2021 1.00 pm – 1.45 pm ET   It has been six months since Reg BI’s best interest standard went into effect. Initially, the regulators required that firms make “good faith” and reasonable efforts to ensure the principles of the regulation were in place.  However, the SEC recently shifted gears. Starting […]

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Top Data Challenge Facing Advisors

Blog September 9, 2020

Meeting Reg BI’s care obligations may require financial advisors to consider one million data points per day Since the introduction of Regulation Best Interest (Reg BI) by the SEC earlier this year, there are several important changes for Broker-Dealers (B-D’s) and their representatives. The overarching goal of Reg BI is to enhance the broker-dealer standard […]

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Reg BI: a 500% Compliance ROI Model

Blog July 26, 2020

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 the US has recently passed on June 30, 2020.  While most firms have met basic compliance requirements, many have deferred compliance technology decisions as the […]

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Reg BI’s Care Obligation and Reasonable Alternatives

Blog July 14, 2020

With Reg BI now in effect, broker-dealers and their representatives will need to illustrate how they are complying with the SEC’s Regulation Best Interest (Reg BI). One of the requirements dealers should pay close attention to is the Care Obligation and the consideration of Reasonably Available Alternatives (or RAA) when making a recommendation. What’s Changed? […]

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The Skinny on Form CRS

Blog June 10, 2020

Who should care?  SEC registered investment advisers, broker-dealers, and dual registrants, who do business with retail investors. Why Form CRS? Form CRS (client relationship summary) is designed to provide investors with simple and comparable, easy-to-understand information about the nature of their relationship with their financial professional.[1] What are the Deadlines? By June 30, 2020, all […]

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Are you Meeting Reg BI’s Requirements in Good Faith?

Blog April 17, 2020

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  an end to one of the longest bull markets in history since World War II. If figuring out how best to wrestle the oscillating markets […]

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Fund Fees are Decreasing – How are You Keeping Track?

Blog April 10, 2020

On March 26, 2020, the Investment Company Institute (ICI) announced that the average expense ratios of US domiciled equity, hybrid, and bond mutual funds—including both actively managed and index equity and bond mutual funds have declined substantially over a period of more than 20 years. The report titled, “Trends in the Expenses and Fees of […]

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InvestorCOM Launches Compliance Platform for Regulation Best Interest

News April 6, 2020

Reg BI compliance pushed forward in spite of COVID-19 challenges: Intuitive, modular solution allows broker-dealers to monitor their product shelf, compare reasonable product alternatives, and deliver compliance and client documents digitally Toronto, ON, Apr 7, 2020 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today announced […]

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COVID 19: Financial Services Industry’s Opportunity to Serve

Blog April 5, 2020

The past several weeks has changed many aspects of our personal and professional lives. It would be an understatement that the pace of change, including the transition to work from home, taking care of children and elders, all while maintaining our own well-being, has required major adjustments for all. Amidst this period of change, the […]

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Recent Posts

  • How to Recommend Variable Annuities with Confidence
  • Webinar: Client Focused Reforms and the KYP Challenge
  • Webinar: 2021 Reg BI Exams & Variable Annuities
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  • InvestorCOM Recognized as a Top Employer for the 4th Year in a Row

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