Wolters Kluwer today announced that two of its leading industry experts, David Thetford, principal analyst, Securities Compliance, and Barbara Boehler, regulatory compliance consultant, Governance, Risk & Compliance, will be participating in a webinar to offer insight into the skills needed for the successful implementation and ongoing management of a sound compliance program.
The webinar, “Practical Guidance to Managing Compliance Risk at Every Maturity Level” is being held Tuesday, April 19 at 2:00 p.m. EDT. Thetford will moderate a panel of industry leaders that includes Boehler; David Lui, principal with Galliard Capital Management; and Elizabeth M. Knoblock, managing member of Elizabeth M. Knoblock, PLLC. During the webinar, panelists will offer practical guidance on implementing a robust compliance program at every maturity level, whether an organization is at the early assessment stage or wants to build on an existing program.
“Implementing a robust compliance program can be challenging for those in the banking and insurance industries, as they are often tasked with having to meet their compliance obligations with fewer resources,” said Steve Taylor, global manager, Governance, Risk & Compliance for Wolters Kluwer. “This webinar will help compliance professionals who are looking for solid risk management tips, as well as for risk management experts seeking more insight into the SEC’s latest compliance rules.”
Thetford is a former examiner for the National Association of Securities Dealers, now known as FINRA. He has also served as a compliance manager for two large securities brokerages and is a former chief compliance officer. In his role at Wolters Kluwer, Thetford brings his retail compliance background to aid in the development of new content and technology that enables clients to meet regulatory requirements.
Boehler is an attorney and compliance officer with over 15 years of experience in the financial services sector. Boehler has served in compliance roles in both large and small firms and has experience developing, monitoring and assessing both broker-dealer and investment advisor firms’ ethics and compliance programs across all jurisdictions, including conflicts of interest, personal account dealing, licensing, training, internal audit and assessment, as well as sales practice compliance.
To register for the webinar, please visit our website.
Wolters Kluwer Governance, Risk & Compliance (GRC) is a division of Wolters Kluwer which provides legal, finance, risk and compliance professionals and small business owners with a broad spectrum of solutions, services and expertise needed to help manage myriad governance, risk and compliance needs in dynamic markets and regulatory environments. The division’s prominent brands include: AppOne®, AuthenticWeb™, Bankers Systems®, BizFilings®, Capital Changes, CASH Suite™, CT Corporation, CT Lien Solutions, Corsearch, TyMetrix® 360, Passport®, LegalVIEW®, GainsKeeper®, OneSumX®, Uniform Forms™, VMP® Mortgage Solutions and Wiz®.
Wolters Kluwer N.V. (AEX: WKL) is a global leader in information services and solutions for professionals in the health, tax and accounting, risk and compliance, finance and legal sectors. Wolters Kluwer reported 2015 annual revenues of €4.2 billion. The company, headquartered in Alphen aan den Rijn, the Netherlands, serves customers in over 180 countries, maintains operations in over 40 countries and employs 19,000 people worldwide.