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Wolters Kluwer Financial Services is the leading worldwide provider of comprehensive risk management, compliance and audit solutions for the financial services industry. We empower risk, compliance, finance and audit professionals in more than 15,000 financial services organizations worldwide to make intelligent and clear-sighted decisions in a rapidly evolving global environment.

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Volume 11, No. 2: Some Old (and New) Wine in New Bottles: The 2018 SEC and FINRA Examination Priorities

(Published April 24, 2018) The SEC and FINRA have released their 2018 exam priorities. Jim Fanto, professor at Brooklyn Law School, and co-editor of this publication, discusses these two regulators’ priorities. As is true every year, much is the same, but Jim carefully points out what’s new in their priorities, whether a completely new topic or a new twist on an old topic. This is definitely worth your time and effort to pick out the areas you may want to focus on in the coming year.

MAS 610 Final Revisions - Data, Systems and Capacity: Oh, my!

(Seminar May 11, 2018) The final revisions to MAS 610 are on the way, and the first hints of further regulatory changes are also in the air, so it’s time for banks to take stock of how prepared they are for the changes, and plan for dealing with the main pain points that are likely to emerge. Join us in Singapore for an insightful lunchtime discussion session.

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Live Webinar: CCO Liability – Effective Ways to Reduce your Exposure

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