InvestorCOM Inc.

Upcoming #Webinar: Join us on October 17, at 1PM ET, to explore how leading wealth firms across North America are embracing digital compliance. Key Takeaways:  From PDFs to Digital Compliance: Learn how the shift from traditional methods to digital solutions is shaping modern compliance.  Preparing for Regulatory Exams: Gain strategies for using digital tools to align with best interest principles and pass exams.  Ongoing Benefits of Digitization: Discover how digitized processes create long-term efficiencies and reduce risk.  Click here to register: https://lnkd.in/gqvfwrgq

Simplify the challenge of assessing costs and Reasonably Available Alternatives when making recommendations. Built on insights from 5,000+ financial advisors, the NEW PeerCompare includes an intuitive design to deliver a comprehensive and compliant solution. Experience the difference. Compare. Document. Disclose. Learn all about the latest version of PeerCompare at https://lnkd.in/g6gckCA4 To book a Demo, click here: https://lnkd.in/gdpMSQxf

The evolution of compliance under the Best Interest regime continues as firms move from manual processes to fully digitized practices. This transition follows a four-stage progression, leading to greater efficiency, transparency, and better outcomes in regulatory exams. Join industry leaders from Snowden Lane Partners, FirstMark and Oyster Consulting, LLC in our upcoming webinar, where we'll discuss why digitizing compliance is essential and how it benefits your firm. Register here: https://lnkd.in/gqvfwrgq

According to Cerulli Associates' U.S. Broker/Dealer Marketplace 2024 report, advisors overwhelmingly point to two key factors that influence their decision to join a new B/D: Technology and the Quality of Back-Office Support. With cutting-edge technology, InvestorCOM Inc. empowers advisors and firms with solutions that streamline their processes, ensure regulatory adherence, and enhance the quality of service. This study confirms that efficiency, compliance, and seamless operations are non-negotiable. Let’s embrace technology that drives success! #WealthManagement #RegTech #Compliance #BrokerDealer #bestInterest #fiduciary #InvestorCOM

Investing in technology to streamline compliance processes and boost advisor productivity is essential to drive organic growth. Firms that act now to reduce inefficiencies will stay ahead in the competitive landscape. InvestorCOM CEO Dave Reeve writes about this phenomenon in Investment Executive article: https://lnkd.in/gkkgsUHk

Great insights from Ed Wegener on the evolving landscape of DOL and rollovers. As the regulatory environment shifts, it's crucial for firms to stay informed and adaptable. Ed's post highlights the challenges and opportunities ahead. A must-read for anyone navigating this complex road. #Compliance #WealthManagement #FinancialAdvisors #Fiduciary#DOL #BestInterest

Heightened regulatory scrutiny has magnified the strategic importance of transitioning from manual to fully digitized compliance practices for wealth management.    Join industry experts George Sarlanis and Mitchell Atkins as they share insights on how purpose-built applications are transforming compliance practices and creating a “flywheel effect” that continues enhancing firms’ ability to scale while staying compliant.  Parham Nasseri, CFA Randy Barnes

CASE STUDY: How Alphastar leveraged technology to enhance compliance, adviser efficiency and growth. Get the case study here: https://lnkd.in/gidppYh7 #Compliance #RegTech #RegBI #ChiefComplianceOfficer

InvestorCOM is looking forward to meeting our clients and the compliance community at the NSCP National Conference in Dallas next month. If you are planning to be there, please let Bill Donnell and Parham Nasseri, CFA know. #NSCP #Compliance #RegulatoryUpdates #Networking #Conference National Society of Compliance Professionals

Happy Compliance Officer Day. 🛡️✅ Today, we honor the meticulous work you do—ensuring transparency, managing risk, and safeguarding trust. Thank you for navigating the ever-evolving regulatory landscape and championing integrity in the workplace. You motivate us to innovate and support your mission of excellence. #NationalComplianceOfficerDay #RegTech #Compliance David O'Brien Bill Donnell Parham Nasseri, CFA Dave Reeve Randy Barnes Vanessa Sharon Adam Deathe John McDonald Lori Skelcher Melanie Sergi, PMP, CSM