Compliance and Risk Management Solutions and Services - Wolters Kluwer Financial Services
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      Gifts & Entertainment Compliance

      Join us for this webinar at which subject matter experts provide guidelines for the review of your policies & procedures for compliance with the gift & entertainment laws, rules & regulations that apply to broker-dealers and investment advisers.

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    • Regulatory & Risk Management Indicator 

      Feeling the Burden

      Concerns by U.S. banks and credit unions over heavy regulatory requirements and risk management have increased nearly 30% since January 2013, according to our latest Indicator.

      See Press Release

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      The Pictet Group Selects Our Financial Risk Solution

      Pictet has selected our Financial Risk Management solution for its Geneva operations. The solution will be integrated with our Regulatory Reporting capabilities to create one platform, enabling a deeper understanding of their risk portfolio.

      Learn More  

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      TeamMate Offers Powerful New Data Analysis Tool Set

      TeamMate and Reinvent Data have formed an exclusive alliance to integrate powerful data analysis functionality into every audit, making data mining more effective and efficient.

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      Top 10 Most Frequent Market Conduct Issues of the Year

      Kathy Donovan will host two webinars to provide an in-depth review of the most frequent market conduct issues from 2013.
      Session 1: Property & Casualty, Thurs., Oct. 23rd - 2PM (EST)
      Session 2: Life & Health, Tues., Oct. 28th - 2PM (EST).

      Register Now  

  • Leading Solutions to Complex Issues

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    Learn what leading industry analysts and journalists have to say about our unique mix of expertise, technology and services.

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  • The Ongoing Challenges around CTR Filing

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    View a recording of our recent webinar to get insight on the latest in regulatory guidance related to the FinCen requirements for the CTR.

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