Resources
Advice, best practices, and thought leadership for investment firms. Grow your knowledge and your business.
Guides
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 Investment Firms
Free data quality checkup tool to help you evaluate the health of your data quality. This online checkup asks 10 brief questions and provides a score, summary of results, and guidance.
Webinars
Best Practices in Working With Your Third-Party Broker-Dealer
March 17, 1:00 PM CT
Leveraging Data in Raymond James Bank and Credit Union Programs
On-Demand Webinar
View Webinars >>
Case Studies
CASE STUDY
Business Process Automation Reduces Costs and Mitigates Risk
Financial services firm automates manual processes and experiences significant efficiency gains and enhanced compliance processes.
READ MORE
Case Study
Fulton Financial Streamlines Commission Processing
Learn how incentive compensation management streamlined commission processing for Fulton Financial Advisors.
READ MORE
Case Study
Enhancing LPL Data With Business Process Automation
Investment services firm enhances LPL data and clearing services with business process automation solutions.
READ MORE
Recent Blog Posts
Upcoming Webinar: Best Practices in Working With Your Third-Party Broker-Dealer
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 third-party...
FINRA’s 2021 Examination and Risk Monitoring Program Report
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...
Terrapin Technologies Launches Trade Surveillance Solution in partnership with Wintrust Wealth Management
Wintrust Wealth Management invests in technology enhancement benefitting its compliance program by delivering a more agile and efficient analysis of direct business transactions. Minneapolis, M.N. – Jan. 19, 2021: Terrapin Technologies today announced a new trade...
Webinar Recap: Leveraging Financial Institution Data in LPL Bank and Credit Union Programs
We recently hosted a webinar titled: Leveraging Financial Institution Data in LPL Bank and Credit Union Programs. The panel featured industry leaders who discussed ways to leverage financial institution data to successfully drive revenue and growth. Discussion topics...
Upcoming Webinar: Leveraging Financial Institution Data in LPL Bank and Credit Union Programs
Does your investment program lack a complete picture of your client’s wealth across the organization? Are you looking for new ideas on collaborating with the financial institution to boost referrals and drive growth? If either of these resonates with you, then join us...
Third-Party Broker-Dealers Explained
The Third-Party Broker-Dealer Model A growing number of banks and credit unions are partnering with third-party broker-dealers (also known as third-party marketers) such as LPL Financial Institution Services and Raymond James Financial Institutions Division. Industry...
Go To Blog >>
Get the latest from our blog
Insights, advice, and best practices to help investment services firms grow their business.