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Featured Customer Stories
United Brokerage Services Turns Direct Business into a Strategic Asset with Terrapin
Learn how Terrapin supports United Brokerage Services’ direct business model paving the way to consistent and scalable growth.
Read the Story >>
Automating Compensation Enhances Back-Office Productivity for Northwest Financial Advisors
Discover how Terrapin’s compensation management solution enhances productivity for this nationally recognized wealth management firm.
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Fulton Financial Streamlines Commission Processing With Terrapin Technologies
This case study explores how compensation management software streamlined commission processing for Fulton Financial Advisors.
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Guide to FINRA's Broker-Dealer Examination Process
Learn four proven ways to prepare for a FINRA routine examination – according to leading compliance experts.
How Leading Broker-Dealers Leverage Digital Technology
Discover three key ways digital technology helps retain top advisors and boost profits.
Mutual Fund Direct Business
“Is mutual fund direct business a viable option for our firm?” remains an important question for broker-dealers to ask. This guide provides a framework to help find the answer.
Data Quality Checkup for Wealth Management Firms
Free data quality checkup tool to help you evaluate the health of your data quality. This online checkup provides a score, summary of results, and guidance.
Recent Blog Posts
10 Best Podcasts for Financial Professionals
To say that podcasts have become incredibly popular within the past few years is an understatement. According to Edison Research, 74 million Americans listen to podcasts every week. Their popularity is largely due to the depth and breadth of content, from aviation to...
FINRA’s Top Enforcement Issues in 2022
In a recent blog, we provided key takeaways from FINRA's 2023 Examination and Risk Monitoring Program Report. This blog will take a closer look at FINRA's top enforcement issues in 2022. Fines Trending Down According to Eversheds Sutherland's annual report of FINRA's...
New Customer Story: Turning Direct Business into a Strategic Asset
We are excited to announce the launch of our recent customer story, United Brokerage Services Turns Direct Business into a Strategic Asset with Terrapin. This new customer story highlights how our technology supports United Brokerage Services’ direct business model...
FINRA’s 2023 Examination and Risk Monitoring Program Report
This January, FINRA published the 2023 Report on FINRA’s Examination and Risk Monitoring Program. The Report provides essential guidance for compliance officers and is devised to inform member firms' compliance programs by delivering annual insights from FINRA's...
Understanding and Overcoming Technology Adoption Challenges
Thomson Reuters Regulatory Intelligence’s annual survey on fintech, regtech, and the role of compliance in 2021 reported that “the adoption and implementation of technology has taken a huge step forward during the pandemic and sector growth is expected to accelerate...
Understanding Direct Business: An Overview for Wealth Management Firms
Defining Direct Business Direct business is not a well-understood model within the wealth management industry, and there is little authoritative information on the practice. To further confound an already obscure topic, direct business goes by many names, including...
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Advice, resources, and thought leadership for wealth management firms. Grow your knowledge and your business.