Draft:InvestorCOM
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This draft's references do not show that the subject meets Wikipedia's criteria for inclusion for organizations and companies. The draft requires multiple published secondary sources that:
Declined by Lynch44 2 months ago.
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Comment: In accordance with the Wikimedia Foundation's Terms of Use, I disclose that I have been paid by my employer for my contributions to this article. Janeicom (talk) 14:38, 23 July 2026 (UTC)
| Industry | Information Technology |
|---|---|
| Founded | 1992 |
| Founder | David Reeve |
| Website | www.investorcom.com |
InvestorCOM
[edit]InvestorCOM is a North American regulatory technology company that develops compliance software for wealth management firms, broker-dealers, insurance organizations, and financial advisors.[1][2] Founded in 1992, the company specializes in technology for rollover recommendations, supervisory oversight, disclosure delivery, and regulatory recordkeeping.[3][4]
InvestorCOM's software is designed to support compliance with regulatory frameworks including SEC Regulation Best Interest (Reg BI)[5], the U.S. Department of Labor's Prohibited Transaction Exemption (PTE) 2020-02[6], and Canadian Client Focused Reforms[7]
References
[edit]- ↑ "Estancia makes strategic investment in InvestorCOM". Private Banker International. 30 November 2022. Retrieved 5 August 2026.
- ↑ Schoeff Jr., Mark (19 June 2023). "How advice standards have converged 3 years into Reg BI". Investment News. Retrieved 5 August 2026.
- ↑ Longo, Tracey (3 October 2023). "Rollover Advice Surges 150% At Top Wealth Management Firms, Study Says". Financial Advisor. Retrieved 5 August 2026.
- ↑ "InvestorCOM". InvestorCOM. Retrieved 23 July 2026.
- ↑ "Regulation Best Interest, Form CRS and Related Interpretations". U.S. Exchange and Securities Commission. 19 November 2024. Retrieved 5 August 2026.
- ↑ "New Fiduciary Advice Exemption: PTE 2020-02 Improving Investment Advice for Workers & Retirees Frequently Asked Questions". U.S. Department of Labor. April 2021. Retrieved 5 August 2026.
- ↑ "Client Focused Reforms". Canadian Securities Administrators. 25 July 2025. Retrieved 5 August 2026.
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