Wolters Kluwer Financial Services Introduces CCH Policies and Procedures Investment Adviser Manual Online
Tool Combines Content Expertise and Flexibility to Create Customized Solution for Investment Advisory Business
WALTHAM , Mass. – Mar. 27, 2007 – Wolters Kluwer Financial Services today announced the release of CCH Policies and Procedures Investment Adviser Manual (IAM) Online. This powerful web-based tool helps compliance professionals create, update, publish and distribute a compliance manual that meets SEC Rule 206(4)-7, which requires investment advisers to implement and maintain policies and procedures for their investment advisory business.
IAM Online provides complete coverage of various rules and regulations, including the Gramm Leach Bliley Act, Insider Trading and Securities Fraud Enforcement Act of 1933, Investment Advisers Act of 1940, Investment Company Act of 1940, Regulation S-P, Securities Act of 1933 and the USA PATRIOT Act.
“IAM Online provides investment advisers with the content and guidance they need to create a customized compliance manual for their business,” said David Stephens, executive vice president of the Securities and Insurance unit at Wolters Kluwer Financial Services. “It eases the burden of monitoring regulatory changes that affect the investment management business by providing up-to-date research, analysis and preparation of compliance policies and procedures.”
Created by Wolters Kluwer Financial Services’ team of leading investment management experts, IAM Online offers:
- Total customization: A powerful Policies and Procedures Wizard guides users through a list of questions in order to gather information about their firm. This firm-specific information can then be integrated with existing content to create a unique manual for each firm.
- Web-based editing: Drafting, copying, pasting and editing are all done online in a user-friendly word processing format.
- Various administrative rights: Firms can administer their manuals internally to authorize the level of access given to different employees.
- Online access: Once completed, the manual can be securely distributed to an entire organization via the Web.
Investment advisers can utilize these unique functionalities across 14 comprehensive chapters covering a wide variety of compliance issues, including marketing dos and don’ts, employee personal trading, privacy and other critical rules and regulatory procedures, to enhance the foundation of a firm’s compliance program.
About Wolters Kluwer Financial Services
Wolters Kluwer Financial Services provides best-in-class compliance, content, and technology solutions and services that help financial organizations manage risk and improve efficiency and effectiveness across their enterprise. The organization’s prominent brands include Bankers Systems, VMP® Mortgage Solutions, PCi, GainsKeeper®, CCH® Capital Changes, NILS INSource®, AuthenticWeb™, CCH Wall Street and GulfPak. Wolters Kluwer Financial Services’ solutions include integrated and stand-alone compliance and work flow tools, documentation, analytics, authoritative information, and professional services. Customers include banks, credit unions, mortgage lenders, securities, and insurance organizations of all sizes throughout the United States. For more information on Wolters Kluwer Financial Services, visit www.WoltersKluwerFS.com.
Contact:
Wolters Kluwer Financial Services
Jennifer Marso
Director of Corporate Communications
612.852.7912
jennifer.marso@wolterskluwer.com
Charles Miller
Senior Public Relations Specialist
320.240.5457
charles.miller@wolterskluwer.com