Advisory Consulting Services | Wolters Kluwer Financial Services
    • 2016_Astory_BusinessTeamattheOffice
      Cultivating Soft Skills: Your Compliance Program’s Cherry Topping
    • HMDA New Rules
      What’s Next for Your HMDA Implementation Plan?
    • MoreHMDAOfficeMeeting_Branded
      Getting Ready for More HMDA
    • PeopleMeetingInConferenceRoom
      Facing a CFPB Exam?
    • ProfessionalsAtWorkDesks
      Manage operational compliance to reduce operational risk

What we offer

  • Wolters Kluwer advisory consulting services offer access to the expertise necessary to compete and thrive in today's challenging environment. Our consultants combine innovative thinking with our unrivaled first-hand industry knowledge to offer our clients a wide array of consulting services in the financial services industry.

    Today’s world of risk and compliance is characterized by increased volume and complexity of legal requirements at the local, regional and global level. Heightened expectations by regulators for controlling risk and ensuring compliance lead to higher visibility and greater scrutiny of the compliance and risk management functions for financial services organizations.

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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  • Latest-Insights-from-Internal-Audit-Industry-Leaders

    “As the focus of regulatory scrutiny becomes increasingly consumer-centric, our clients ask us to look at their banking practices, not only for compliance afforded to consumers under the law, but also against the standards of unfair, deceptive or abusive acts or practices.” Timothy Burniston, executive vice president, U.S. Advisory Services and Regulatory Relations

    Learn more

    Prepare Now for HMDA Expansion with our HMDA Readiness Worksheet – examine the impact of the expanded regulation on your business, identify gaps and make enhancements to your compliance program.

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    Stephen Cross, Senior Director with Wolters Kluwer identifies a trend where federal banking regulators are increasingly requiring banks to prepare a CRA Plan as a condition of an approval. Know the End Game: Create A Forward-Looking CRA Plan

    Download now