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
On-Demand Webinar
Leveraging Data in Raymond James Bank and Credit Union Programs
On-Demand Webinar
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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.
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Case Study
Fulton Financial Streamlines Commission Processing
Learn how incentive compensation management streamlined commission processing for Fulton Financial Advisors.
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Case Study
Enhancing LPL Data With Business Process Automation
Investment services firm enhances LPL data and clearing services with business process automation solutions.
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Recent Blog Posts
Getting Started with DTCC Wealth Management Services
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...
Comparing Managed and Dual Employee Programs
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...
Best Practices in Working With Your Third-Party Broker-Dealer Webinar Recap
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...
FINRA’s Top Enforcement Issues in 2020
According to a new study by Eversheds Sutherland, FINRA disciplinary actions show a surge in enforcement activity in 2020. What caught my eye was a dramatic increase in fines related to variable annuity cases—a 1062% increase! To put that in context, overall fines...
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...
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