Wolters Kluwer Financial Services | Wolters Kluwer
  • Keys for “picture perfect” regulatory change management
    Keys for “picture perfect” regulatory change management
  • Risk concerns jump in latest Wolters Kluwer Indicator survey
    Risk concerns jump in latest Wolters Kluwer Indicator survey
  • A Balanced Compliance Program Requires Careful Navigation.
    A Balanced Compliance Program Requires Careful Navigation.
 

What we offer

Risk Solutions

Our risk management solutions were created solely for financial services and deliver the processes, best practices, regulatory intelligence, and analytics required by this highly regulated industry.

Compliance Solutions

Our compliance management solutions enable organizations to balance the mounting regulatory and risk management obligations with improving business performance.

Finance Solutions

Our finance solutions deliver the processes, best practices, regulatory intelligence, and analytics required by this highly regulated industry.

Audit Solutions

Our audit solutions empower audit departments of all sizes to more efficiently manage the audit process, spending less time documenting and reviewing and more time providing value-added services.

Explore Insights

Volume 11, No. 1: The New Regulatory Landscape: What happened in 2017? Really, what happened?

(Published January - February, 2018) Though it has felt to me all year that this was a quiet year of legislation and regulation, it’s actually not true. Our regulators have, as always, been active and have kept the process moving despite political turmoil. Hank Sanchez of Oyster Consulting LLC has given us an excellent discussion of 2017 developments affecting broker dealers, and some practical ways to address those developments.

Volume 10, No. 5: What You Need to Know About Expungement

(Published September-October, 2017) It's easy to get a customer complaint, and easy for that complaint to stain your firm's or your reps' or your own professional record. The stain can put a big damper on your business, and it's very tough to get that stain off your record! David Sobel, Jacko Law Group's FINRA Specialist, has given us an excellent discussion of how to get such stains cleared off the record.

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MAS 610: Can banks learn to swim upstream?
 

MAS 610: Can banks learn to swim upstream?

 
 
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Revisions-of-CRD-IV-and-CRR
 

Just when you thought it was safe to go back into the water...Revisions of CRD IV and CRR

 
 
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HMDA at the Crossroads
 

Did you miss us at the HMDA Crossroads? There's still time to join the journey with Wolters Kluwer ‒ watch our previously recorded webinars and join us in December for the Final Pit Stop!