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Articles & Publications

Matt Dwyer authoried the attached article for Wolters Kluwers' Practical Compliance & Risk Management for the Securities Industry Journal.  The article Preparing for Broker-Dealer Examinations is attached below and found in the May-June 2012 issue.  For access to the entire journal, contact WKFS at 866.220.0297 or www.wolterskluwerFS.com 

Matt Dwyer authored the attached article for Wolters Kluwers' Practical Compliance & Risk Management for the Securitie Industry Journal.  The article Mysteries vs. Puzzles- Recognizing and Addressing the Difference between Compliance "Mysteries"  and "Puzzles"  is listed below and found in the Septebmer-October 2011  issue.  For access to the entire journal, contact WKFS at 866.220.0297 or www.wolterskluwerFS.com


Preparing for Broker-Dealer Examinations 

Mysteries vs. Puzzles- Recognizing and Addressing the Difference between Compliance "Mysteries"  and "Puzzles" .pdf

 



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