‘Seeing is Believing’ - Market Conduct Compliance
Join Wolters Kluwer at the 2018 IRES Foundation National School on Market Regulation to find out more about our latest market conduct offerings. Kathy Donavan, Senior Compliance Counsel will speak about recent trends and key issues she is seeing in market conduct activity, and John O’Brien, Director of Product Management will present a few of the new data visualizations that Wolters Kluwer is offering as part of our OneSumX NILS MCE Enhanced Report.
Tuesday, April 10th
The CPM Edge: Why Compliance Program Management Is Right For You
(Published April 11, 2017) Compliance failures during regulatory exams can come from a variety of sources, whether it’s incomplete requirements knowledge, a broken regulatory change management process, or just inefficient policies and procedures. This whitepaper details how an all-encompassing “Compliance Program Management” system can help you address such gaps, and ultimately achieve regulatory readiness and accountability across your organization.