Personal Account Dealing | Wolters Kluwer Financial Services OneSumX
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Streamline personal account dealing compliance-save time & reduce risk

  • In the securities industry, more than ever, legal, compliance and operations professionals need access to in-depth expertise and sophisticated technology to meet increasingly complex and stringent obligations.

    When it comes to personal account dealing compliance, Wolters Kluwer Financial Services offers proven solutions built on expertise you can trust to brokerages, investment advisers, mutual funds and hedge funds to meet the rigorous regulatory compliance requirements.

    OneSumX GRC for Employee Compliance automates monitoring of personal account dealing as well as gifts and hospitality processes.