The Sycamore Company: Driving Compliance, Advisor and Practice Management Efficiencies for Broker Dealers
The Sycamore Company has been established as a Salesforce OEM, ISV, and Consulting Partner for over 12 years. The company has been instrumental in solving the operational and compliance challenges of broker-dealer and RIA home offices out-of-the-box, providing simple and quick installation, configuration, and use.
Chapter 3: Critical Differentiators to Look for in Next Generation Compliance Solutions
Obviously, not all new generation solutions offer the same breadth or sophistication of features. To deliver the full value for money that next generation technology can provide, look for a number of specific attributes that clearly differentiate the superior solutions. A more holistic approach. The most advanced next generation systems have created seamless solutions that […]
Chapter 2: What capabilities should you expect from a next generation compliance solution?
Since the advent of first generation of automated surveillance solutions, the foundational data architecture of enterprise wealth management organizations has evolved from a set of rigidly siloed isolated activities to shared data capabilities utilizing tools like data hubs and deep integrations. The first generation of surveillance solutions essentially ran in parallel to other functional systems […]
Chapter I : What Business and Regulatory Trends Does A Next Generation Compliance Solution Need To Consider?
Game changing trends in both enterprise wealth management’s business model and regulatory regimen have been underway for the last few years. Legacy compliance solutions, both automated and manual, had already fallen behind in their ability to satisfy the supervision and surveillance demands of B-Ds and RIAs prior to the current acceleration of digital transformation throughout […]
Solving the Data Management Challenge
Three key data management challenges are threatening the ability for IBDs and wealth managers to grow, profit and retain the best reps. What are they, and what’s the solution?
Advisor Compensation: Why IBDs Still Struggle to Pay Reps Accurately and On Time
Compensation management is still a big back-office pain point for independent broker-dealers (IBDs). What is the source of this pain, and what can be done about it?
It’s Time for Broker-Dealers to Upgrade Their Surveillance Technology
Many broker-dealers continue to rely on old surveillance technology that makes it difficult to aggregate relevant data, configure alerts, and increase efficiency and accuracy. Is it time for an upgrade?
Five Reasons Why Broker-Dealers and RIAs Must Tackle the Data Silo Challenge Now
Data silos continue to be an omnipresent challenge, resulting from years’ worth of broker-dealers, RIAs and other firms acquiring more department-focused software to run their operations. The more software used by different teams throughout the firm, the more disparate data emerged, making it difficult to find, aggregate and access the right, normalized data when and […]