by James Pfeiffer | Jun 1, 2022 | News
We’re excited to announce our upcoming webinar Best Practices in Financial Advisor Succession Planning, scheduled on Wednesday, June 22, 2022, at 1:00 PM CT. By now, those of us working in the financial advice industry are well aware of the looming advisor shortage....
by James Pfeiffer | May 12, 2022 | Risk and Compliance
In a recent blog, we provided an overview and key takeaways of FINRA’s 2022 Examination and Risk Monitoring Program Report. Over the past several years, FINRA has made the sales and supervision of variable annuities a priority. In their new report, the self-regulatory...
by James Pfeiffer | Mar 15, 2022 | Risk and Compliance
This February, FINRA released the 2022 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. In a press release, Greg Ruppert,...
by James Pfeiffer | Apr 27, 2022 | Data and Technology
A Case for Real-Time Data Analytics In this article, we will examine the value of real-time data analytics for broker-dealers, including what it is, why it matters, and its vital role in business intelligence and data-driven decision-making. In short, real-time data...
by James Pfeiffer | Feb 10, 2022 | Data and Technology
Over the years, Terrapin Technologies has worked with many financial institutions, in particular wealth management programs within banks and credit unions. Our customers have ranged in size, from small regional credit unions to large national banks. When talking with...
