As conference season kicks off, the InvestorCOM team recently had the opportunity to participate in the SIFMA C&L Conference, a pivotal event in the financial industry. Amidst discussions on the evolving landscape of regulatory compliance, particularly in the wake of Regulation Best Interest (Reg BI), there were remarkable insights and new concepts unveiled that are […]
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InvestorCOM is proud to announce the appointment of Parham Nasseri to President effective immediately. Over the last four years, Parham has taken on increasing responsibility and driven outstanding results. In his new role, Parham is responsible for Regulatory Strategy, Marketing, Product Management/Development and Customer Success. Several of Parham’s achievements over the last four years include […]
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On March 12, 2024, the Canadian Investment Regulatory Organization (CIRO) published their exam priorities for the year and what the areas of focus will be during upcoming exams for all dealers. This year’s exams of both mutual fund and investment dealers will include a focus on the second phase of the client focused reforms (CFRs). […]
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Learn key insights from regulatory and compliance leaders as they discuss the industry outlook and expectations from the SEC in 2024.
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Gain valuable first-hand insights into the 2024 exam priorities and findings discussed at the recent SIFMA C&L Regional Conference in New York City from InvestorCOM’s VP of Sales, Bill Donnell.
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AccountCompare ensures the rationale for account recommendations are in the investor’s best interest, digitally documented and aligned with the firm’s policies. Toronto, ON, January 30, 2024 – InvestorCOM, a leading wealth compliance software provider, today announced that its powerful compliance platform now features an account analysis application to help financial professionals ensure the account type is […]
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InvestorCOM’s Peer Rating metric was developed to simplify the process of comparing Reasonably Available Alternatives (RAA) for investment product selection, supporting the SEC’s Reg BI Care Obligation and the Client Focused Reforms in Canada. Peer Ratings are an integral feature within the PeerCompareTM and ShelfAnalyzerTM compliance applications. Regulatory Expectations Regulators expect financial professionals to consider […]
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In the ever-evolving landscape of financial services, regulatory compliance stands as a cornerstone for ensuring transparency, trust, and accountability. The U.S. Securities and Exchange Commission (SEC) plays a pivotal role in setting standards of conduct for broker-dealers and investment advisers (RIAs).
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The US Department of Labor (DOL) released its new fiduciary rule proposal on October 31. InvestorCOM hosted the wealth industry’s trusted experts to share their experience and insights on how the industry can handle new regulatory requirements, including the DOL’s new proposal. Dawn Thomason, Chief Compliance Officer, USA Financial This has been going back and […]
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