5 Surveillance Technology Capabilities Every Broker-Dealer Should Have
Are your surveillance, supervision and compliance processes manual, fragmented, or constrained by data silos? Discover the five key technology capabilities every broker-dealer must have to effectively mitigate reputational, regulatory and operational risk while increasing efficiencies.
EBook
Why Now Is the Right Time for Broker-Dealers to Upgrade Their Surveillance Technology
Explore what’s driving surveillance technology modernization and why compliance officers can no longer wait to improve speed, quality and transparency.
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Sycamore delivers all the data and functionality a retail or institutional advisor firm needs to recruit, manage and pay advisors, meet compliance and audit requirements, and keep advisors connected – all within the Salesforce ecosystem.
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Marco Galvan
Prospera Financial Services
In this interview series on “What We Learned by Going Remote,” Chip Kispert of Beacon Strategies interviews Marco Galvan, Director of IT and Platform at Prospera Financial Services, who explains how the need for flexibility and their use of the Sycamore platform – already established across advisors, their teams and the back-office – allowed the firm to tackle more work, more efficiently in a remote work environment.
Sean Wickersham
The Leaders Group
In this interview series on “What We Learned by Going Remote,” Chip Kispert of Beacon Strategies interviews Sean Wickersham of The Leaders Group on the importance of communication especially when dealing with reps, advisors and back-office staff all across the country – and how migrating the firm’s back-office systems to be totally cloud-based through Sycamore has benefited them in the new normal of remote work.
Sean Wickersham
The Leaders Group
Sean Wickersham of The Leaders Group continues his discussion with Chip Kispert of Beacon Strategies, on how important security is with cloud-based systems – especially as employees began working from home and how Sycamore’s integration with Entreda has helped to ensure a safer remote work environment.
