Roundtable Insights

Jumpstart Your Client Focused Reforms Journey.

InvestorCOM recently hosted an exclusive Roundtable event where executives from 16 leading wealth firms shared their most pressing compliance challenges and discussed strategies and solutions for meeting CFR requirements. 

Find out what firms are doing to prepare their advisors and dealers for the upcoming CFR regulation. 

>> READ THE ROUNDTABLE INSIGHTS NOW

 

What you'll learn

DEALER KYP OBLIGATION

Read how firms plan to manage their proprietary and non-proprietary product shelf for material changes.

ENHANCED KYP & SUITABILITY

Find out why illustrating best interest under the enhanced suitability process will be more onerous. 

PUT THE CLIENT'S INTEREST FIRST

Discover the best way to mitigate suitability complaints and why recordkeeping needs to be your top priority.

INDUSTRY STATS

Get the details on the challenges firms face and what they are doing to solve it.  Read the survey.

"69% of firms plan to deploy technology to assist with the representatives requirement to demonstrate KYP, including assessing reasonably available alternatives."


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Insight from InvestorCOM's Client Focused Reforms Roundtable

Download the CFR Roundtable Insights