David Thetford | Wolters Kluwer
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  • David Thetford

    David Thetford

    Principal Analyst

    David Thetford joined Wolters Kluwer Financial Services in December, 2006 as the firm’s securities compliance principal analyst. He serves as the firm’s subject matter expert in securities. He is also Editor in Chief of Practical Compliance and Risk Management for the Securities Industry, a professional journal for compliance managers and risk managers in the securities industry, and their counsel.

    Prior to joining Wolters Kluwer Financial Services, he was Chief Compliance Officer at Advanced Equities, Inc., a dually registered full service broker-dealer specializing in private equity.  Thetford also served as a supervisor of examiners in the Chicago regional office of Wachovia Securities, and as Branch Administrative Manager – Compliance in the Chicago, Illinois office of Morgan Stanley, one of the top five producing branches of Morgan Stanley.

    Thetford began his compliance career in 2000 as a compliance examiner in the Chicago, Illinois office of the National Association of Securities Dealers (NASD), now known as FINRA.  Prior to his position at NASD, he worked as a registered representative for Morgan Stanley Dean Witter.

    Thetford is a retired Commander in the U.S. Navy, and has held various assignments of increasing authority and responsibility including two commands as well as Director of Manpower, Personnel and Training then as Chief Staff Officer on an admiral’s staff.  He retired from the U.S. Navy in 1998 prior to beginning his career in the securities industry.

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    The DOL Fiduciary Rule: Are You Ready?
    (On-Demand Webinar November 17, 2016) Join our panel of experts for insight on how the DOL Fiduciary Rule will impact the provision of investment services and advice as of April 2017 and beyond.
    From Reasonably Designed to Perfectly Designed: Best Practices for the Annual Review Process
    (Recorded May 21, 2015) Done. Check. You just completed your annual review to gauge the effectiveness of your supervisory system and confirm it is reasonably designed to detect violations and weaknesses in internal controls. Now what? Well, this is the perfect time to conduct a post mortem so that you can breathe new life into your next review. Join securities compliance experts, Matt Dwyer and Steve Taylor along with David Thetford as they delve into essential internal controls, compliance testing essentials and documentation procedures within the structure of a "real-world" practical compliance program.
    2015 Regulatory Trend Outlook for Securities
    (Published January 2015) Although we can’t predict exactly what will take place, Securities compliance expert, David Thetford from Wolters Kluwer outlines the top 7 regulatory trends expected to impact your firm in 2015. Topic areas include: Increased Focus on Technology; Capital Requirements; Regulators’ Increasing Use of Discretionary Tools; Implementation of the Volker Rule; Propagation of Rules across Jurisdictions and Sectors; Fiduciary Duty; and The Republicans Take Control of Congress.
    Seasonal Review—Gifts & Entertainment Compliance Policies
    (Recorded November 25, 2014) Subject matter experts Kathy Kresch Ingber, Partner, K&L Gates LLP and Carol Beckett, Compliance Manager, Wolters Kluwer Financial Services join moderator David Thetford, Securities Compliance Principal Analyst, Wolters Kluwer Financial Services and provide guidelines for the review of your policies and procedures for compliance with the gift and entertainment laws, rules and regulations that apply to broker-dealers and investment advisers.
    Evaluating GRC Systems: Look Inside Before You Look Outside
    (Recorded November 12, 2014) Many financial organizations still manage risks—compliance, operational and financial—manually through various departments and operating entities throughout their organizations. Frequently this process is done using spreadsheets, e-mail and inconsistent risks and controls, leaving an organization open to unforeseen threats and potential catastrophes, but also unable to fully capitalize on risk. A GRC system seems like an obvious next step, but how do you know when you’re ready, and what features/functionality you should look for?
    Hot Topics in AML Compliance
    (Recorded October 17, 2013) This previously recorded webinar includes coverage of the most talked about topics with regard to regulatory compliance, such as the annual requirement, regulatory expectations, risk assessment, independent testing, AML audit, and industry take-aways and insights.