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.

DOWNLOAD NOW


How Leading Broker-Dealers Leverage Digital Technology


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

Get It Now


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.

READ MORE


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.

START CHECKUP


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

LEVERAGING DATA WEBINAR SERIES

Leveraging Data in LPL Bank and Credit Union Programs

Recent Blog Posts

Tips for Effective Investment Program Management
Tips for Effective Investment Program Management

Bank Investment Programs Investment programs continue to provide tremendous value to the financial institution (bank or credit union). Studies have shown that households that own investments through their primary bank or credit union are among the most profitable for...

read more
5 Ways To Attract and Retain Millennial Advisors
5 Ways To Attract and Retain Millennial Advisors

Millennial Advisors More than one-in-three American labor force participants (35%) are millennials, making them the largest generation in the U.S. labor force, according to a Pew Research Center analysis of U.S. Census Bureau data. Research shows that only about 25%...

read more
Financial Asset Management Compliance
Financial Asset Management Compliance

Asset Management Compliance One of our clients came to us with a problem; how to comply with FINRA's customer asset transmit rules for managed money and mutual funds. Our solution: an asset management workflow for tracking, monitoring, and reporting on the location...

read more

Go To Blog >>

Get the latest from Terrapin Technologies’ blog

Insights, advice, and best practices to help investment services firms grow their business.