New Book Offers Risk & Compliance Insights from Securities Industry’s Leading Experts
Wolters Kluwer Financial Services today announced the publication of a new book, “Modern Compliance: Best Practices for Securities & Finance.” Written by industry practitioners who have spent decades working as chief compliance officers, compliance attorneys, senior regulators, professional organization leaders, and compliance teachers and researchers, the book offers insight into the skills needed for the successful implementation and ongoing management of a sound compliance program.
The book was compiled and edited by David H. Lui and John H. Walsh. Lui was chair of the National Society of Compliance Professionals (NSCP), and has been a senior compliance officer for some of the largest names in the industry including the Schwab Funds, Franklin Advisers (Franklin Templeton), U.S. Bancorp Asset Management, and Galliard Capital Management. Walsh was a key regulator at the Securities and Exchange Commission for 23 years, serving as chief counsel and acting director of the Office of Compliance, Inspections and Examinations. In that capacity, he was instrumental in creating OCIE and was one of the key figures overseeing the development of the rules governing securities compliance.
“The book helps compliance professionals understand the internal control structure and ethical considerations necessary to navigate one of the most challenging roles in American business today—that of a chief compliance officer at a financial services firm,” said Lui, who noted that Wolters Kluwer Financial Services was the firm he and Walsh sought out to publish the work. “With this book, we’re giving compliance professionals the resources they need for the greatest chance of success.”
The book is being released in advance of the upcoming NSCP National Conference being held Nov. 1-4 at the Gaylord National Resort and Convention Center in National Harbor, Md.
About Wolters Kluwer Financial Services
Wolters Kluwer Financial Services provides customers worldwide with risk management, compliance, finance and audit solutions that help them successfully navigate regulatory complexity, optimize risk and financial performance, and manage data to support critical decisions. With more than 30 offices in 20 countries, our prominent brands include: AppOne®, AuthenticWeb™, Bankers Systems®, Capital Changes, CASH Suite™, GainsKeeper®, NILS®, OneSumX®, TeamMate®, Uniform Forms™, VMP® Mortgage Solutions and Wiz®. Wolters Kluwer Financial Services is part of Wolters Kluwer, which had 2014 annual revenues of €3.7 billion ($4.9 billion), employs 19,000 employees worldwide, and maintains operations in over 170 countries across Europe, North America, Asia Pacific, and Latin America. Wolters Kluwer is headquartered in Alphen aan den Rijn, the Netherlands. Its shares are quoted on Euronext Amsterdam (WKL) and are included in the AEX and Euronext 100 indices.