Professional Services,
Technology,
Finance,
Software,
Fintech,
Asset Management,
Disclosure,
Communication,
Partnership,
Documentation,
Labour,
Financial adviser,
Nitrogen Nitrogen , the company that is revolutionizing how financial advisors and wealth management firms grow their firms, today announced its integration with InvestorCOM , a leading regulatory compliance software and communications solution for wealth and asset managers.
Key Points:
- Nitrogen , the company that is revolutionizing how financial advisors and wealth management firms grow their firms, today announced its integration with InvestorCOM , a leading regulatory compliance software and communications solution for wealth and asset managers.
- This integration enables financial professionals using Nitrogen’s platform to seamlessly access InvestorCOM to make compliant rollover recommendations, access 401k plan costs, and digitally deliver and document their analysis to investors.
- This integration was developed in response to increasing regulation and the demand for more effective communication and disclosure from the financial services industry.
- “Through this integration, we’re excited to further equip our clients with the tools they need to navigate the complexities of the industry while delivering best-interest recommendations to their clients.
NEW YORK, July 17, 2023 /PRNewswire/ -- Today, two leading compliance software providers to the wealth management industry, COMPLY and InvestorCOM, announced an expanded partnership which will enable wealth firms and advisers to more efficiently and effectively comply with the Securities and Exchange Commission's (SEC) best interest requirements to assess costs and reasonably available alternatives when providing investment recommendations to retail investors. Additionally, the partnership will expand upon the existing RolloverAnalyzer solution to enable firms to meet the Department of Labor's (DOL) retrospective review requirement, which recently went into effect.
Key Points:
- New solutions enable advisers to make best interest product and rollover recommendations, digitally documenting and disclosing their analysis.
- NEW YORK, July 17, 2023 /PRNewswire/ -- Today, two leading compliance software providers to the wealth management industry, COMPLY and InvestorCOM , announced an expanded partnership which will enable wealth firms and advisers to more efficiently and effectively comply with the Securities and Exchange Commission's (SEC) best interest requirement s to assess costs and reasonably available alternatives when providing investment recommendations to retail investors.
- The partnership provides brokers and investment advisers with easier access to InvestorCOM PeerCompare™, an intuitive application for advisers to make best interest recommendations by comparing investment selections across cost, risk and return.
- One year ago, COMPLY and InvestorCOM partnered to offer InvestorCOM's RolloverAnalyzer technology to RIAs, giving rise to more than 900 advisers implementing the InvestorCOM solution to make best interest rollover recommendations, including the documentation and disclosure of their analysis to clients.
LOS ANGELES, June 13, 2023 /PRNewswire/ -- Docupace, the leader in cloud-based fintech digital operations software for the wealth management industry, today announces the first phase of its strategic integration with InvestorCOM on behalf of their mutual client Wintrust Wealth Management, a wealth management firm offering a broad range of financial services to private clients and institutions in Chicago.
Key Points:
- LOS ANGELES, June 13, 2023 /PRNewswire/ -- Docupace , the leader in cloud-based fintech digital operations software for the wealth management industry, today announces the first phase of its strategic integration with InvestorCOM on behalf of their mutual client Wintrust Wealth Management , a wealth management firm offering a broad range of financial services to private clients and institutions in Chicago.
- The integration between Docupace and InvestorCOM, a leading regulatory software provider for wealth and asset managers, is set to enhance and strengthen operations at Wintrust Wealth Management while ensuring its financial professionals stay current with the latest compliance requirements.
- "We're excited to partner with Docupace and InvestorCOM to bring greater efficiency and compliance to our financial advisors at Wintrust Wealth Management," said Jim Corbett, chief operations officer of Wintrust Investments LLC.
- The Docupace Platform will provide Wintrust with 17a-4 compliant document storage of these recommendations and corresponding account paperwork.
Retrieved on:
Tuesday, December 20, 2022
Professional Services,
Data Management,
Security,
Technology,
Software,
Finance,
Fintech,
DOL,
Strategic partnership,
Partnership,
Growth,
RIAS,
Risk,
Ministry of Labour,
Nobel Prize,
Research,
Financial adviser,
Riskalyze Riskalyze , the industry-leading growth platform for wealth management firms — used by tens of thousands of financial advisors to help investors invest fearlessly in all market conditions — today announced a strategic partnership with leading compliance software firm InvestorCOM .
Key Points:
- Riskalyze , the industry-leading growth platform for wealth management firms — used by tens of thousands of financial advisors to help investors invest fearlessly in all market conditions — today announced a strategic partnership with leading compliance software firm InvestorCOM .
- The partnership will afford advisors access to industry-leading rollover compliance workflows that include analysis of proposed rollover transactions, plan fee lookups and documenting recommendations, freeing up time for valuable face-to-face meetings with clients.
- “We believe that a streamlined compliance workflow can actually be a differentiator and growth driver for firms,” said Clifton Schaller, Managing Director of Strategic Partnerships at Riskalyze.
- Since 1992, InvestorCOM has been providing regulatory compliance software and communications solutions to wealth managers, asset managers, and insurers.
Retrieved on:
Tuesday, November 29, 2022
Personal Finance,
Legal,
Technology,
Finance,
Consulting,
Banking,
Professional Services,
Software,
Asset Management,
Other Professional Services,
Software,
Growth,
WLG,
LLP,
History,
Kirkland & Ellis,
Wealth management,
Corporate services,
PTE,
Health,
XMS Capital Partners,
Entrepreneurship,
Risk management Estancia Capital Partners announced today they completed a significant investment in InvestorCOM , a leading provider of software and tech-enabled compliance solutions to the asset and wealth management industry.
Key Points:
- Estancia Capital Partners announced today they completed a significant investment in InvestorCOM , a leading provider of software and tech-enabled compliance solutions to the asset and wealth management industry.
- We look forward to partnering with InvestorCOM and providing strategic, operational and distribution value-added advice.
- The companys customers include North Americas largest financial institutions and strategic wealthtech partners that distribute InvestorCOM technology to smaller customers.
- InvestorCOM will represent Estancias sixth portfolio platform investment in Estancia Capital Partners Fund II, L.P. For more information, visit www.estanciapartners.com .
Best,
Financial Technologies Group,
Solution,
Technology,
Compliance,
Financial technology,
Leadership,
CEO,
Industry,
Regulatory technology,
Digital banking,
PTE,
Wealth management,
Bank,
Financial adviser,
Payment,
Investment TORONTO, Ontario, March 17, 2022 /PRNewswire-PRWeb/ -- InvestorCOM , a leading regulatory software provider to the wealth management industry, today announced that it has been named "Best RegTech Platform" in the sixth annual FinTech Breakthrough Awards program conducted by FinTech Breakthrough, an independent market intelligence organization that recognizes the top companies, technologies and products in the global FinTech market today.
Key Points:
- TORONTO, Ontario, March 17, 2022 /PRNewswire-PRWeb/ -- InvestorCOM , a leading regulatory software provider to the wealth management industry, today announced that it has been named "Best RegTech Platform" in the sixth annual FinTech Breakthrough Awards program conducted by FinTech Breakthrough, an independent market intelligence organization that recognizes the top companies, technologies and products in the global FinTech market today.
- The FinTech Breakthrough Awards was founded to recognize the FinTech innovators, leaders and visionaries from around the world in a range of categories, including Digital Banking, Personal Finance, Lending, Payments, Investments, RegTech, InsurTech and many more.
- The 2022 FinTech Breakthrough Award program attracted more than 3,950 nominations from across the globe.
- "We are honored to be recognized by FinTech Breakthrough as the Best RegTech Platform winner," said David Reeve, CEO of InvestorCOM.
Retrieved on:
Tuesday, November 16, 2021
Compliance,
Achievement,
Knowledge,
Industry,
CEO,
KYP,
Technology,
Growth,
Association,
CFRS-DT,
Disclosure,
Solution,
Ernst & Young,
Review,
CRTA,
Audit,
Financial adviser TORONTO, Nov. 16, 2021 /PRNewswire-PRWeb/ -- InvestorCOM , a leading regulatory software provider to the wealth management industry, today announced that its compliance platform for meeting the Know Your Product (KYP) requirements of the Client Focused Reforms (CFRs) has been recognized as 'Best Wealth Management Regulatory Solution' by the Canadian RegTech Association (CRTA).
Key Points:
- TORONTO, Nov. 16, 2021 /PRNewswire-PRWeb/ -- InvestorCOM , a leading regulatory software provider to the wealth management industry, today announced that its compliance platform for meeting the Know Your Product (KYP) requirements of the Client Focused Reforms (CFRs) has been recognized as 'Best Wealth Management Regulatory Solution' by the Canadian RegTech Association (CRTA).
- InvestorCOM's CEO David Reeve commented on the recognition:
"We are honored to be recognized as a leader in RegTech innovation for wealth management.
- In the category of Best Wealth Management Regulatory Solution, InvestorCOM stood out for its innovative regulatory technology that helps compliance teams and advisors efficiently meet their KYP requirements for the Client Focused Reforms."
- Since 1992, InvestorCOM has been providing regulatory compliance software and communications solutions to wealth managers, asset managers, and insurers.
Through this agreement, the company will use InvestorCOM DOX to centralize and digitize their marketing content creation and delivery.
Key Points:
- Through this agreement, the company will use InvestorCOM DOX to centralize and digitize their marketing content creation and delivery.
- By leveraging DOX, the company will automate the creation of customized marketing campaigns in a matter of minutes.
- The digital platform supports a compliant, pre-approved content workflow enabling advisors to create and send digital content to clients or print locally.
- "DOX is the industry-leading application for wealth managers to manage, customize and distribute their marketing content into the advisor channel.
The DOL and the SEC are increasingly focusing on rollover recommendations and their impact on investors.
Key Points:
- The DOL and the SEC are increasingly focusing on rollover recommendations and their impact on investors.
- While the SEC encourages documentation and client disclosure, the DOL's PTE 2020-02 makes it an explicit requirement.
- RolloverAnalyzer is fully integrated with InvestorCOM's PeerCompare and ComplianceExpress , offering a single, powerful solution to meet both Reg BI and DOL PTE 2020-02 obligations.
- Since 1992, InvestorCOM has been providing regulatory compliance software and communications solutions to wealth managers, asset managers, and insurers.
Similarly, the KYP obligation of the Client Focused Reforms (CFR) requires registered reps to put their clients' interests first when making investment recommendations.
Key Points:
- Similarly, the KYP obligation of the Client Focused Reforms (CFR) requires registered reps to put their clients' interests first when making investment recommendations.
- InvestorCOM developed Peer Ratings to simplify the compliance process for financial professionals, compliance professionals and the product due diligence team.
- "Peer Ratings eliminate any guesswork and help advisors to efficiently identify which investments may be worth considering when making a best interest recommendation."
- Since 1992, InvestorCOM has been providing regulatory compliance software and communications solutions to wealth managers, asset managers, and insurers.
