by James Pfeiffer | Last updated Oct 10, 2019
Audit Ready Incentive Compensation The increasing cost of compliance and oversight – in time and money – is something investment services firms face every day. From internal audits that scrutinize our processes to regulatory bodies like FINRA and the SEC that scour...
by James Pfeiffer | Last updated Oct 3, 2019
Effective Revenue Tracking Revenue tracking and reporting tools help monitor and measure the performance of the entire sales organization, from lead to booked revenue. Investment services firms can leverage revenue tracking data to optimize business strategy and drive...
by James Pfeiffer | Last updated Sep 26, 2019
Implementing a Financial Technology System A frequent topic of conversation we have with investment services firms is the importance of implementing a financial technology system. As firms grow, they soon realize that manual processes and managing disparate data...
by James Pfeiffer | Last updated Sep 24, 2019
Bank Investment Programs Investment programs continue to provide tremendous value to the financial institution (bank or credit union). Studies have shown that households that own investments through their primary bank or credit union are among the most profitable for...
by James Pfeiffer | Last updated Sep 24, 2019
Millennial Advisors More than one-in-three American labor force participants (35%) are millennials, making them the largest generation in the U.S. labor force, according to a Pew Research Center analysis of U.S. Census Bureau data. Research shows that only about 25%...
by Kristefor Lysne | Last updated Sep 19, 2019
Customer Asset Transmit Rules One of our clients came to us with a problem; how to comply with customer asset transmit rules for managed money and mutual funds. Our solution: a workflow module for tracking, monitoring, and reporting on the location and status of...
