Regulatory Analytics | Wolters Kluwer
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Regulatory Analytics Solutions

Wolters Kluwer understands the intricacies of internal operational structures, the demands of regulatory oversight, and the importance of data integrity. Our Wiz® compliance products can be leveraged throughout the lending cycle to help organizations remain compliant with stringent regulatory and internal standards.

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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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HMDA Resource Center
 

HMDA regulatory insights and resources to help you prepare for one of the most significant regulatory changes the industry has faced in 35 years.

 
 
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HMDA at the Crossroads
 

Register for the August 22nd live webinar "HMDA at the Crossroads: Submissions & Scrub"