Tag: regtech

Trust, Disclosure and Technology

How being transparent with your clients can help build stronger relationships Over the course of the last decade, compliance requirements for advisors have increased significantly, which has created tension between the industry and regulators at times. However, the goals of all industry stakeholders might be more aligned than some believe. According to the CFA Institute, […]

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ShelfMonitor For Dealers – Now Available

After an extensive investigation and feedback period, the CSA (Client Securities Administrators) recently released the published rule amendments to implement Client Focused Reforms (CFR) across Canada. CFR is a series of investor protection reforms based on the fundamental concept that clients’ interests come first for dealers in their interactions with investors. The reforms provide obligations […]

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Taking the Noise out of KYP Compliance

In June 2018, InvestorCOM realized that, for the past seven years, they had been moving toward where the regulatory puck was headed. “When the OSC released its first discussion paper on client-focused reforms, we saw this new emphasis on the dealer shelf — specifically, the processes of how products are assessed and then monitored once […]

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Survey Results: Investment Dealer Challenges

Did you know that during a survey of mutual funds done in 2019, it was discovered that over a five-week period, there was an average of 2,000 changes a week to the attribute data of mutual funds? And a recent review of Canadian investment dealers revealed that as a result, dealers have a challenge in […]

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InvestorCOM Helps Wealth Management Dealers Manage their Investment Shelf, Prepare for Audits and Meet KYP Regulations

Toronto, ON – InvestorCOM, a leader in financial services compliance solutions, today announced the release of “ShelfMonitorTM for Dealers”. This is a new product that will help investment dealers monitor their product shelf and stay current on the state of the products they provide to their investors. ShelfMonitor is a subscription service that provides alerts […]

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