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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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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