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Wolters Kluwer Financial Services helps financial services organizations, with a comprehensive suite of risk management technologies to address compliance, credit, counterparty credit, financial crime, market, liquidity, and operational risk. Our risk management solutions were created solely for financial services and deliver the processes, best practices, regulatory intelligence, and analytics required by this highly regulated industry.

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Department of Labor Fiduciary Rules Finalized: Final Regulation’s Effect on IRAs, HSAs, and CESAs

(Published September 22, 2016) The Department of Labor’s (DOL’s) recently released final fiduciary regulation broadens its oversight, and broadens the scope of persons considered to be a fiduciary with respect to IRAs, HSAs, and CESAs. Although subject to Internal Revenue Code section 4975 prohibited transaction rules, many persons (advisors) have generally not been subject to ERISA fiduciary requirements with DOL oversight. One purpose of the final fiduciary regulation is to protect consumers, including IRA, HSA, and CESA owners, from persons that may not be acting in the consumer’s best interest when making investment recommendations.

CP 16-20: the next tweak to the FCA’s attempt to end its PPI nightmare

(Published September 20, 2016) CP 16/20, published in August, shows the Financial Conduct Authority (FCA) continuing to muddle its way towards the end of the PPI mis-selling crisis. The performs two functions. It reports on the feedback received in response to CP 15/39. It also suggests further changes in the light of that. Adam Samuel reports.

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White Paper: Stress Testing - An Increasingly Intricate Puzzle

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