US Consulting Solutions

Create a Complete Response to your Unique Business Needs

With our Consulting Solutions, we help you expand your compliance capabilities with consultants who are the leading global industry experts from all areas of financial services. They have come directly from the industry having spent years as compliance professionals, and many are former regulatory supervisors who cover a full range of topics and skills to ensure you have the relevant resource to address your specific compliance needs when and where you need it. We offer a complete package that eases your compliance challenges with expertise that is unmatched.

Our Consultants Solutions:

 

Policy Management

  • Review existing polices
  • Risk analysis
  • Internal audit programs

Compliance Review

  • Creation of procedures for establishing and maintaining data privacy
  • Code of ethics
  • Soft dollar practices
  • Treating seniors fairly
  • Short selling restrictions
  • Employee trading rules

Employee Compliance

  • Employee Trading
  • Gifts and Entertainment
  • Email/Instant Message
  • Mandatory Time Away ("MTA")
  • Conflicts of Interest policies and procedures
  • Insider Trading

Examinations & Audits

  • Mock audit examinations (branch and desk)
  • Review results of regulatory exams and develop remedial processes
  • Create customized forms and attestations
  • Review existing systems and procedures for compliance with regulatory changes

Registration & Membership

  • FINRA Initial Membership applications
  • Changes to membership applications
  • State applications
  • CRD administration
  • U-4 and U-5 filings and review

We welcome your inquiries. To speak with a Wolters Kluwer Financial Services Representative: In the US, email us at CRNInfo@wolterskluwer.com or call 866.221.0404.