by James Pfeiffer | Jun 2, 2021 | Data and Technology
DTCC Wealth Management Services At a high level, it’s easy to understand the value of using DTCC’s wealth management services. DTCC can help broker-dealers streamline manual processes and reduce overhead; this is particularly true for large financial institutions that...
by James Pfeiffer | Apr 28, 2021 | Strategic Growth
When a bank or credit union chooses to provide retail investment services via a third-party broker-dealer (e.g., LPL Financial, Raymond James, CUNA, etc.), they must decide the type of networking arrangement. This arrangement consists of two main models: managed...
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...
