# Data Integration

How Audit Ready Is Your Incentive Compensation Program?

How Audit Ready Is Your Incentive Compensation Program?

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...
How to Leverage Revenue Tracking Data to Drive Growth

How to Leverage Revenue Tracking Data to Drive Growth

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...
FINRA’s 529 Initiative: Finding the Needle in the Haystack

FINRA’s 529 Initiative: Finding the Needle in the Haystack

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...

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