Propman Brochure

Unlock the secrets to complying with recordkeeping regulations on mobile devices with our latest whitepaper Finance, operations, IT, compliance, and other risk managers are increasingly turning to technology to navigate an ever-changing regulatory landscape. The frequent introduction of new amendments and evolving regulations have managers focused on their financial institution’s exposure to costly liabilities, with monitoring employee behavior, catching unforeseen mistakes, and keeping up with developing compliance standards leaving financial institutions in a vulnerable position. This white paper aims to arm financial institutions with the knowledge, insights, and technology that address their critical needs. Learn how to mitigate risk, enhance compliance, and streamline operations effectively with this whitepaper as your guide. The whitepaper covers: • The roles and requirements of the SEC and FINRA and explore how to maintain compliance amidst frequent amendments and evolving regulations • Learn how T-Mobile MultiLine offers a robust, carrier-agnostic solution integrating text, Teams, and WhatsApp to simplify recordkeeping in a BYOD environment • Gain actionable strategies for monitoring employee behavior, catching unforeseen mistakes, and adhering to developing compliance standards—essential for avoiding SEC and FINRA violations Don’t miss this essential whitepaper, complete the form, and get your free copy now. Download Now

If you’re interested in the freedom and control that come with becoming an RIA, discover these five unique paths you can take to independence. TRG (0220-04VY) (02/20) Why are more and more advisors choosing independence? The answer is simple: The Registered Investment Advisor (“RIA”) model has become more than a place to break free from tradition. Custodians and platform providers work together to help position advisor teams to reach their full potential. It’s now the destination for those in search of a better way of doing business — one where more freedom and control allows both advisors and their clients to thrive.  As you embark on your journey, consider the:  • Growth of the RIA channel* • Benefits of independence • Differences among the five business models for the modern RIA • Experiences of advisors who chose independence Download this white paper to discover the five business models for the modern RIA. *The Cerulli Report: U.S. Intermediary Distribution 2018, Exhibit 2.07. Schwab Advisor Services™ serves independent investment advisors and includes the custody, trading, and support services of Charles Schwab & Co., Inc. (Schwab), member SIPC (www.sipc.com). Independent investment advisors are not owned by, affiliated with, or supervised by Schwab. This is a sponsored feature developed by Charles Schwab and supported by ThinkAdvisor. ThinkAdvisor is not affiliated with The Charles Schwab Corporation. ThinkAdvisor will share your information with Sponsor, Charles Schwab & Co., Inc. Schwab may use it to contact you and to send you additional insights from Schwab Advisor Services™. Read about privacy at Schwab at www.schwab.com/privacy Download Now

Financial professionals spend a lot of time bogged down by inefficient processes and dispersed data, rather than focusing on strategy. Find out how 6 people took the lead and transformed their day-to-day financial processes in manual accounting, FP&A, and procurement. With minimal investment, they redesigned their workflows to create exponential benefits for not only their companies, but themselves: • No More Chasing People for Data • Easily Met Deadlines • Removed Need for Clunky Spreadsheets Download this eBook to learn more and see how you can write your own success story. Download Now