Resources
Advice, best practices, and thought leadership for investment firms. Grow your knowledge and your business.
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.
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
Is Your Firm Prepared for Reg BI?
Best Interest Standard of Conduct The Regulation Best Interest (Reg BI) compliance deadline is just around the corner – June 30, 2020, to be exact. One of the many challenges is obtaining a solid grasp of Reg BI and it’s numerous implications (it certainly doesn’t...
Why Data Quality Management Is Crucial for Investment Firms
The Consequences of Poor Data Quality We talk a lot about data quality and data management. When consulting with investment firms, we frequently use the phrase "get your data in good order." But what does that really mean? And why does it matter? The bottom line is...
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, 62 million Americans listen to podcasts every week. Their popularity is largely due to the depth and breadth of content, from aviation to...
FINRA 2020 Risk Monitoring and Examination Priorities
In January 2020, the Financial Industry Regulatory Authority (FINRA) released it's 2020 Risk Monitoring and Examination Priorities Letter highlighting areas of focus for their risk monitoring, surveillance, and examination programs as well as new and emerging areas....
How to Build a Business Case for Technology Investments
What is a Business Case and Why You Need One Building a strong business case for technology investments is critical. Many projects fail due to poor project planning or lack of executive buy-in and support, or a combination of each. Building a business case will help...
The Advantages of Financial Planning for Investment Firms
Financial Planning Represents an Increasingly Important Role Research conducted by Financial Planning shows that in 2017, fee-based revenue overtook commission-based revenue for the first time. There is a myriad of factors driving this change, including industry...
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