by James Pfeiffer | Last updated Oct 10, 2019
Audit Ready Incentive Compensation The increasing cost of compliance and oversight – in time and money – is something investment services firms face every day. From internal audits that scrutinize our processes to regulatory bodies like FINRA and the SEC that scour...
by James Pfeiffer | Last updated Oct 3, 2019
Effective Revenue Tracking Revenue tracking and reporting tools help monitor and measure the performance of the entire sales organization, from lead to booked revenue. Investment services firms can leverage revenue tracking data to optimize business strategy and drive...
by James Pfeiffer | Last updated Sep 26, 2019
Implementing a Financial Technology System A frequent topic of conversation we have with investment services firms is the importance of implementing a financial technology system. As firms grow, they soon realize that manual processes and managing disparate data...
by James Pfeiffer | Last updated Sep 9, 2019
Spreadsheet Dependency Dependency on spreadsheets exposes an investment services firm to risk, especially when they rely on spreadsheets for their business-critical functions (such as managing their incentive compensation program). If spreadsheets play an integral...
by James Pfeiffer | Last updated May 15, 2019
Background In January of this year, FINRA launched an initiative to curb the sales of high cost 529 plan funds to investors. Specifically, they are reviewing the share classes recommended to these investors and if these recommendations met the suitability standard...
