Our Experts in the News

Following are news and expertise featuring the Wolters Kluwer Financial Services Securities Compliance team.

Dealing with problem reps: Pros share strategies on escalation
BD Week, February 22, 2010

Looking for Trouble: Sophisticated software is a first line of defense on the inside trader front.
Irwin Speizer, Absolute Return + Alpha, January 2010

Be Prepared to Justify Why Some Customers Bought PPNs, FINRA Warns
BD Week, January 4, 2010

Know Investment Value at the Start
Chicago Tribune, December 13, 2009

Mending the Seams
The Investment Professional, Dec 1, 2009

With Compliance and Regulatory Reforms on the Horizon, Tech Firms Respond
InvestmentNews, Oct. 20, 2009
 
Lax Compliance Can be Costly, Warn Experts
InvestmentNews, June 28, 2009
 
Danse Macabre: The Banking and Brokerage Sectors Reel from Crisis to Crisis
The Investment Professional, Spring 2009
 
A New Type of Training for Securities Professionals
HousingWire.com, May 6, 2009
 
President Obama’s 100th Day Underscores Regulatory Agenda
On Wall Street, Apr. 28, 2009
 
Reshaping US Regulations
Fund Strategy, Apr. 13, 2009
 
Securities Firms Gain Access to Anti-Fraud Tools
HousingWire.com, Apr. 6, 2009
 
At the Pinnacle: Financial Planning Awards
CPA Wealth Provider, Apr. 1, 2009
 
Regulation on the Horizon, Funds Automate Compliance
Securities Industry News, Feb. 16, 2009
 
Where is the SEC headed in 2009?
Boomer Market Advisor, Jan. 1, 2009