Tag: rollover

Document Rollover Recommendations with Confidence

Blog

In today’s stringent regulatory environment, maintaining accurate and accessible compliance records is paramount. FINRA’s recent enforcement actions underscore the serious consequences of disparate record management, particularly when rollover data is deleted or mishandled. InvestorCOM provides industry-leading solutions for secure and compliant record retention of rollover recommendations. With RolloverAnalyzer‘s 𝐍𝐚𝐭𝐢𝐯𝐞 𝐑𝐞𝐜𝐨𝐫𝐝 𝐊𝐞𝐞𝐩𝐢𝐧𝐠 and 𝐖𝐎𝐑𝐌 𝐑𝐞𝐩𝐨𝐬𝐢𝐭𝐨𝐫𝐲, your […]

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RolloverAnalyzer™ is Transforming the Financial Advisory Landscape

Blog

This year, we conducted a survey of RolloverAnalyzer users from a prominent US advisory firm, and the results were nothing short of astounding. The feedback was overwhelmingly positive, showcasing the significant impact our solution has on financial advisors’ productivity and satisfaction.  Participants in the survey expressed a clear consensus: RolloverAnalyzer dramatically enhances their efficiency and […]

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DOL Fiduciary Obligations & SEC Guidance

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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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NSCP 2023 Recap

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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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InvestorCOM Launches Rollover Application for Meeting Reg BI and PTE 2020-02 Regulations - NEWS

InvestorCOM Launches Rollover Application for Meeting Reg BI and PTE 2020-02 Regulations

News

RolloverAnalyzer™ enables financial professionals to consistently document and disclose rollover recommendations. Toronto, ON, August 2, 2021 – InvestorCOM, the leading provider of regulatory compliance software and communications solutions for the financial services industry, today launched RolloverAnalyzer™ a cloud-based application for rollovers to help financial professionals comply with the SEC’s Reg BI and the Department of […]

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