by James Pfeiffer | Apr 14, 2021 | Strategic Growth
We recently hosted a webinar titled: Best Practices in Working With Your Third-Party Broker-Dealer. This webinar explored how bank and credit union investment services programs can get the most out of their third-party broker-dealer partnership. Terrapin Technologies...
by James Pfeiffer | Mar 8, 2021 | News
We’re excited to announce our upcoming webinar Best Practices in Working With Your Third-Party Broker-Dealer scheduled on Wednesday, March 17, 2021 at 1:00 PM CT. In this webinar, we explore how your investment services program can get the most out of your...
by James Pfeiffer | Feb 23, 2021 | Risk and Compliance
This February, FINRA released the 2021 Report on its Examination and Risk Monitoring Program. The Report is designed to inform member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations. The Report combines and replaces...
by James Pfeiffer | Jan 19, 2021 | News
Wintrust Wealth Management invests in technology enhancement benefitting its compliance program by delivering a more agile and efficient analysis of direct business transactions. Minneapolis, M.N. – Jan. 19, 2021: Terrapin Technologies today announced a new trade...
by James Pfeiffer | Jan 11, 2021 | Strategic Growth
We recently hosted a webinar titled: Leveraging Financial Institution Data in LPL Bank and Credit Union Programs. The panel featured industry leaders who discussed ways to leverage financial institution data to successfully drive revenue and growth. Discussion topics...
