Compliance Review Consulting Solutions

Our consultants´ experience comes from both the commercial and operational side of compliance. Therefore, they can deliver a multi-faceted approach to your regulatory challenges and recommend solutions that can evolve as your regulatory obligations evolve, ensuring effective use of your operational resources.

We will conduct an analysis of your current compliance practices in order to better understand your overall and specific compliance objectives. This review will help determine any potential gaps in your internal requirements and processes, such as:

  • Creation of procedures for establishing and maintaining data privacy
  • Code of ethics
  • Soft dollar practices
  • Treating seniors fairly
  • Short selling restrictions
  • Employee trading rules
  • Anti-money laundering procedures
  • KYC/enhanced due diligence requirements
  • Review of advertising and other customer-facing literature

For more information, call 866.221.0404 or email SCSInfo@wolterskluwer.com.