Tag: regulatory audits

InvestorCOM ShelfMonitor

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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