Direct Business Tag

Getting Started with DTCC Wealth Management Services
Getting Started with DTCC Wealth Management Services

DTCC Wealth Management Services At a high level, it’s easy to understand the value of using DTCC’s wealth management services. DTCC can help broker-dealers streamline manual processes and reduce overhead; this is particularly true for large financial institutions that spend millions of dollars on post-trade activities. But what about small to medium-sized organizations? When does […]

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Terrapin Technologies Launches Trade Surveillance Solution in partnership with Wintrust Wealth Management
Terrapin Technologies Launches Trade Surveillance Solution in partnership with Wintrust Wealth Management

Wintrust Wealth Management invests in technology enhancement benefitting its compliance program by delivering a more agile and efficient analysis of direct business transactions. Minneapolis, M.N. – Jan. 19, 2021: Terrapin Technologies today announced a new trade surveillance solution in partnership with Wintrust Wealth Management. The trade surveillance solution provides compliance departments the capability to monitor […]

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The DOL Fiduciary Rule and Direct Mutual Fund Business
The DOL Fiduciary Rule and Direct Mutual Fund Business

How will the DOL fiduciary rule impact broker-dealer’s direct mutual fund business? The final Department of Labor fiduciary ruling was enacted this past April, with full implementation scheduled for April 10, 2017. While some have speculated that President-elect Donald Trump may try to repeal or at least delay the rule, betting on this can leave […]

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