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Wolters Kluwer Financial Services is the leading worldwide provider of comprehensive risk management, compliance and audit solutions for the financial services industry. We empower risk, compliance, finance and audit professionals in more than 15,000 financial services organizations worldwide to make intelligent and clear-sighted decisions in a rapidly evolving global environment.

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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.

Volume 10, No. 4: Why Compliance and Risk Managers Should Embrace Blockchain

(Published July-August, 2017) If you're like me, "blockchain" is a little bit of a mystery. Clearly it's a growing phenomenon and looks like it's here to stay. Caitlin Long of Symbiont is a national leader in understanding, developing and using blockchain, and has given us an excellent primer to help us non-blockchain compliance professionals understand it better.

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Leading Solutions to Complex Issues

 
 
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