Puma Capital, a New York-based broker-dealer, has selected Wolters Kluwer Financial Services' Compliance Resource Network and Policies and Procedures, regulatory compliance solutions.
Wolters Kluwer said that Compliance Resource Network solution provides access to federal and state agencies issued up-to-date laws, regulations and securities news, as well as self-regulatory organizations (SROs).
It also offers expert analysis and commentary to provide securities professionals with practical guidance on regulatory compliance issues.
Policies and Procedures solutions addresses FINRA Rules 3010 and 3130, which require broker-dealers to establish and maintain written supervisory procedures for their firm.
The solution also helps compliance officers monitor and interpret regulatory changes in understanding the potential impact on their business, customize compliance manuals, and distribute manuals to employees online.
Regulatory changes will be informed to the compliance officers through alerts, to the policies and procedures remain current.
Puma Capital president and chief compliance officer Joshua Greenstein said Wolters Kluwer Financial Services provides resources that help the company to remain compliant and demonstrate compliance to employees, customers and regulators.