Resources

Advice, best practices, and thought leadership for investment firms. Grow your knowledge and your business.

Featured Customer Stories

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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Business Process Automation Reduces Overhead And Mitigates Compliance Risk

Learn how a Fortune 500 wealth management firm increased efficiency and improved compliance processes with workflow automation.


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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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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.

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How Leading Broker-Dealers Leverage Digital Technology


Discover three key ways digital technology helps retain top advisors and boost profits.

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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.

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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.

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Recent Blog Posts

Moving Towards T+1 Settlement
Moving Towards T+1 Settlement

In February 2022, the SEC proposed new rules to shift to a trading day plus one business day settlement (T+1) cycle for securities trades in the US. In a coordinated effort, the Securities Industry and Financial Markets Association (SIFMA), the Investment Company...

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Advice, resources, and thought leadership for wealth management firms. Grow your knowledge and your business.