Sycamore Company

We're revolutionizing #brokerdealer #wealthmanagement and #RIA #backoffice operations with a modern, fully integrated, cloud platform for the #homeoffice.

[Sycamore Company @SycamoreCompany]

#compliance #wealthmanagement #surveillance #brokerdealer #salesforce #tableaucrm #tableaudeveloper

[Sycamore Company @SycamoreCompany]

Part 2 of our 3-part primer of what a Next Generational Compliance Solution would like:

https://t.co/ksD6QQIPsf

[Sycamore Company @SycamoreCompany]

Our three- part primer Next Generation Compliance Solutions is now available on our website.
https://t.co/VvUCCuIWYY

[Sycamore Company @SycamoreCompany]

We're competing in the #financialservices apps #DemoJam on 2/17 10am PT. Register: https://t.co/v6g8A6cb2P via @appexchange

[Sycamore Company @SycamoreCompany]

IBDs, RIAs & Wealth Managers: Sycamore Data Hub can dramatically increase your firm’s #data quality, speed and control to feed multiple #operations and advisor workflows. Learn more ⬇️

#datamanagement #wealthmanagers #RIAs #brokerdealers #IBDs
https://t.co/rcjYkYKYkO

[Sycamore Company @SycamoreCompany]

What are the 3 #data management challenges threatening #IBDs and #wealthmanagers ability to grow, profit & retain the best reps?
Read our latest blog 👇

#dataaggregation #RIAs #brokerdealers #DataManagement
https://t.co/JJudj9CbZp

[Sycamore Company @SycamoreCompany]

Breaking News: We’ve launched our ultra-fast, automated #data aggregation service, providing #brokerdealers and #RIAs with access to their normalized data each morning: https://t.co/bFfMctkcJ8

#dataaggregation #wealthmanagers

[Sycamore Company @SycamoreCompany]

Wishing you all a happy and safe Thanksgiving!

#thanksgiving2021

[Sycamore Company @SycamoreCompany]

We deliver all the #data and functionality your firm needs to:

✔️Recruit, manage & pay advisors
✔️Meet compliance & audit requirements
✔️Keep advisors connected & productive

Learn more: ➡️ https://t.co/W9TINRZPqW

#brokerdealers #RIAs #Salesforce

[Sycamore Company @SycamoreCompany]

Build and maintain an effective #compliance program with Sycamore:

✔️Appointment Tracking
✔️#FormCRS
✔️7a3 Notices
✔️36 Month Letters
✔️Suitability Documentation
✔️#RegBI Compliance

Visit https://t.co/FdE0CldaUF

#brokerdealers #RIAs #regtech

[Sycamore Company @SycamoreCompany]

Although most advisors use software tools, #SEC DOE examiners found they often used an incorrect fee schedule and also found instances of manual errors when calculating fee percentages.

@wealth_mgmt #advisorfees #RIAs #financialadvisors https://t.co/8cOPhzankr

[Sycamore Company @SycamoreCompany]

Effective advisor and #tradesurveillance is impossible without good data to drive it. That’s why normalized data is a core part of our surveillance technology capabilities.

Learn more 👉 https://t.co/jo2341JIcg

#brokerdealers #RIA #surveillancetech #brokerdealersoftware

[Sycamore Company @SycamoreCompany]

When payouts go wrong, everyone in the firm knows it (your partners and clients know it, too). Yet #AdvisorCompensation remains one of the biggest back-office pain points for #IBDs.

Learn how Sycamore can help: ➡️ https://t.co/ZqJouYtFsY

#brokerdealers #RIAs

[Sycamore Company @SycamoreCompany]

Alert: #SEC says it's rescinding a bevy of SEC Staff Letters that provided guidance on the current advisor #advertisingrules. There's some time: The new rule has a #compliance date of Nov. 4, 2022.

@ThinkAdvisor #brokerdealers #adrulecompliance #RIAs https://t.co/etTyxkcv71

[Sycamore Company @SycamoreCompany]

Broker-Dealer firms subject to Regulation Best Interest have been slow to make compliance reforms since the rule was implemented last year, says @NASAA.

@wealth_mgmt #brokerdealers #compliance #RegBI #regtech https://t.co/swxPymS44N

[Sycamore Company @SycamoreCompany]

Sycamore provides a single platform that aggregates all the functionality a firm’s #homeoffice needs to recruit and manage advisors, meet #compliance & audit requirements, and keep advisors happy. ➡️ View the Video: https://t.co/OHc6v8dJZA

#brokerdealers #RIA #fintech

[Sycamore Company @SycamoreCompany]

Do you have an effective advisor #compliance, #supervision and #surveillance program?

Sycamore lets you manage all your agents, #financialadvisors & their support staff, from prospect to onboarding and beyond.

Learn more: ➡️ https://t.co/bqKdrXxXam

#brokerdealers #BD #RIAs

[Sycamore Company @SycamoreCompany]

We deliver all the #data and functionality your firm needs to:

✔️Recruit, manage & pay advisors
✔️Meet compliance & audit requirements
✔️Keep advisors connected & productive

Learn more: ➡️ https://t.co/W9TINRZPqW

#brokerdealers #RIAs #Salesforce

[Sycamore Company @SycamoreCompany]

Another RIA failed to file its #FormCRS by its regulatory deadline. Smaller firms may struggle with keeping up-to-date on regulatory developments. But it really doesn't have to be that way.

#RIAs #financialadvisors #finreg #compliance #SEC @wealth_mgmt https://t.co/8q7mJkt6DQ

[Sycamore Company @SycamoreCompany]

@RaymondJames CEO says compensation for staff supporting #financialadvisors is under pressure industrywide - from #operations, risk and tech, to branch professionals. Is your firm experiencing this trend?
https://t.co/e5SCVv6lfz
#brokerdealers #advisorcompensation #advisortech