Authors

Authors

Cindy Cook DeRuyter

Cindy Cook DeRuyter is an attorney in private practice and a freelance writer in St. Paul, MN. Prior to taking her practice full-time in 2015, Cindy spent more than 19 years in Investment Adviser and Broker-Dealer compliance and operations roles for firms including RSM Wealth Management, Nuveen Investments, US Bancorp Asset Management and Thrivent Financial.

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Selling Your Workflow Automation Ideas Internally

For more selling the idea of ROI for your workflow automation project, download our free Workflow ROI Guide. Managers and business analysts frequently have great ideas for implementing change in their organizations, however, they often struggle with how to obtain upper-level buy-in for their workflow automation ideas. Implementing a software solution that will automate… View More


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SEC Priorities for 2017 May Mean a Push for FinTech

As it does each year, the Securities and Exchange Commission’s (SEC) Office of Compliance Inspections and Examinations (OCIE) announced its 2017 priorities in January and some of the priorities may push firms to focus more on FinTech. This year, broker-dealers, investment advisers, fund complexes and others regulated by the SEC can… View More


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Making it Easier for Employees to Blow the Whistle Internally

With what seems to be an ever-growing focus on corporate governance, companies in any industry are under increased pressure to not only follow the letter of the law, but also the spirit of industry rules and regulations. In addition to serving end clients or corporate shareholders, companies need to satisfy auditors and regulators alike. In a perfect world, everyone would do everything right, all the time. Of course, as long as… View More


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Compliance Technology, DOJ Investigations & the Yates Memo

Note: This is a guest post by Cindy Cook DeRuyter who spent more than 19 years in financial compliance and operations roles for firms including RSM Wealth Management, Nuveen Investments and US Bancorp Asset Management It has been almost eight months since U.S. Deputy Attorney General, Sally Quillian Yates, issued a memo titled "Individual… View More


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Ensuring Compliance by Improving User Experience

Note: This is a guest post by Cindy Cook DeRuyter who spent more than 19 years in financial compliance and operations roles for firms including RSM Wealth Management, Nuveen Investments and US Bancorp Asset Management Whatever your industry or line of business, you likely have certain compliance requirements you need to follow. Whether those are HR requirements driven by labor laws, regulatory in nature… View More


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Reduce "Failure to Supervise" Risk with Workflow Automation

Note: This is a guest post by Cindy Cook DeRuyter who spent more than 19 years in financial compliance and operations roles for firms including RSM Wealth Management, Nuveen Investments and US Bancorp Asset Management For compliance officers of broker-dealers and investment advisers, the threat of “failure to supervise” charges from regulators is very real. When a supervisor or compliance officer is… View More


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