Tag: regulatory compliance

Travis Champion

Travis Champion Joins InvestorCOM as VP Business Development

Travis Champion is an accomplished business leader who has been in the wealth management industry for over 20 years.   Toronto, ON, February 16, 2020 – InvestorCOM, a leading provider of compliance software solutions for the wealth management industry is very pleased to announce the appointment of Travis Champion as Vice-President, Business Development.  The increasing regulatory […]

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Compliance ROI Model

Reg BI: A Compliance ROI Model

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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Are you Meeting Reg BI’s requirements in Good Faith

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

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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