Proactive, Supportive, Effective

With Wolters Kluwer Financial Services products, you gain a ‘virtual compliance expert’ with the longest tenure and most comprehensive resources. We believe an effective compliance program is integrated with its organization, which is why our approach and solutions integrate with your compliance workflow. With these proactive, supportive and effective products, our customers tell us we can save you time, provide peace of mind and support you in all your daily compliance needs.

Here are the highlights of our product mix, with brands so you can easily navigate amongst the product sets:

• Compliance Resource Network - Regulatory information reference
• Tracker – news watch and alerts service
• Policies and Procedures management for broker-dealers, investment advisors and hedge funds with customizable software
• e-Learning - Compliance training, both off-the-shelf and customized
• Audit FS - Testing policy effectiveness with regulatory reviews
• Continued monitoring with proactive surveillance tools for employees (Examiner), transactions (Wiz Sentri) and customer verification (Wiz Sentri/RiskID)
• Consulting Solutions - Resolving compliance issues with consulting support