With our Policies and Procedures solution you gain a proven system for effective policies management. Our expert authored content is relied on and trusted by hundreds of Broker Dealers,Investment Advisors and Hedge Funds who want to efficiently and effectively implement best practices within their firms.
The Policies and Procedures solution is designed to alleviate the burden of maintaining your firm’s policies and procedures manuals. Utilizing the latest technology and with content authored by leading compliance experts and legal contributors, Policies and Procedures offers the most complete resource designed to enhance the foundation of your compliance program. Using our simple step-by-step process, you can assemble, revise, and distribute your policies and procedures manual online with ease.
With comprehensive compliance manuals tailored towards broker-dealers, investment advisors and hedge funds, we offer financial services industry unique tools to meet today’s most challenging regulatory compliance and requirements. If you already have your own policies and procedures, our solution will help you manage this content more effectively. You can upload your content, update it online, create an audit trail of changes and archive past versions, and publish the most up to date version to your firm.
Today's broker-dealers must follow countless regulations and rules. Concurrently, regulatory agencies are intensifying their examination process. One of the most challenging requirements is to comply with the FINRA rules that require firms to maintain policies and procedures that are applicable to the firm and certified annually. Policies and Procedures for Broker Dealers is the most comprehensive, all-inclusive electronic solution to assembling, recording, and updating broker-dealer written supervisory procedures manuals available.
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An all-inclusive solution to assembling, recording and updating investment adviser manuals required by regulators. Policies and Procedures for Investment Advisors provides expert guidance in creating a Compliance Manual that meets SEC Rule 206(4)-7 requirements. Authored by one of the foremost experts in investment management, Policies and Procedures for Investment Advisors allows compliance professionals to create, revise, publish, navigate and distribute a compliance manual easily and efficiently.
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This is designed to provide a comprehensive solution to assemble and update Policies and Procedures for Hedge Funds. Authored by a team of investment management experts, Policies and Procedures for Hedge Funds provides clear guidance in creating a compliance manual that meets regulatory best practices.
Policies and Procedures for Hedge Funds is the only solution that combines practical and industry proven know how with the flexibility to integrate your existing materials into one centralized solution.
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We also offer customized and off-the-shelf eLearning courses that ensure successful transfer of knowledge of regulatory obligations and procedures.
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