Risk and Compliance Articles

DOL Fiduciary Rule Compliance
DOL Fiduciary Rule Compliance

Is your firm prepared to meet the new Department of Labor fiduciary standards? DOL Compliance Benjamin Franklin’s axiom that “an ounce of prevention is worth a pound of cure” rings true today for those working in the financial industry. Terrapin is actively working...

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Data Validation in The Age of Audits
Data Validation in The Age of Audits

Like it or not, we are living in the age of audits and regulatory examinations. From internal teams that scrutinize our processes to regulatory bodies like FINRA and the SEC that scour over client data. The financial services industry has endured these necessary...

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