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 Wealth Management 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
Research Shows Advisor Headcount Lags Behind Productivity in 2021
As many of you know, I'm a fan of the fine folks over at Kehrer Bielan Research & Consulting. Every year I look forward to the Kehrer Bielan Annual Checkup, as it provides leaders with the insights they need to be successful. These insights are invaluable not only...
FINRA Priorities: Automated Solutions for Variable Annuity Data
In a recent blog, we provided an overview and key takeaways of FINRA’s 2022 Examination and Risk Monitoring Program Report. Over the past several years, FINRA has made the sales and supervision of variable annuities a priority. In their new report, the self-regulatory...
Three Ways Data Centralization Will Help Establish Trust in Data
Trust in data is a frequently cited issue at the executive level. According to a 2021 study by HFS Research, 89% of business executives cited “a high level of data quality” as key to business success. However, 75% of business executives do not have a high level of...
FINRA’s Top Enforcement Issues in 2021
Our last blog provided an overview and key takeaways of FINRA’s 2022 Examination and Risk Monitoring Program Report. In this blog, we will take a closer look at FINRA’s top enforcement issues in 2021. According to Eversheds Sutherland’s annual report of FINRA’s...
FINRA’s 2022 Examination and Risk Monitoring Program Report
This February, FINRA released the 2022 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. In a press release, Greg Ruppert,...
The Value of Real-Time Data Analytics For Broker-Dealers
A Case for Real-Time Data Analytics In this article, we will examine the value of real-time data analytics for broker-dealers, including what it is, why it matters, and its vital role in business intelligence and data-driven decision-making. In short, real-time data...
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