by James Pfeiffer | Last updated Aug 29, 2018 | Insights
BACKGROUND This last winter, FINRA introduced the trusted contact rule. It requires that broker-dealer firms make reasonable efforts to identify a “trusted contact,” a person to contact if the firm has a concern that the client is incapacitated or is the target of a...
by Terrapin Technologies | Last updated Aug 4, 2016 | Case Studies
One of our clients came to us with a problem; how to meet property transmit rules for managed money and mutual funds. Our solution: a workflow module for tracking, monitoring and reporting on the location and status of customer funds. We started the conversation by...
by James Pfeiffer | Last updated Aug 4, 2016 | Case Studies
Last year, one of our clients came to us with this question: “How do we ensure our brokerage is capturing all non-physical customer addresses in order to prevent violation of FINRA Anti-Money Laundering rules?” Pandia, our core product, has rules in place that monitor...
