Author: Compliance Solutions Strategies

The FCA have indicated in a round table with trade associations a rough timeline for when they expect to issue…

A CSS Webinar on How to Optimize Your Compliance Program  Heading a compliance program, often with limited time and resources and a…

Prepare Now for the SEC’s New Marketing Rule View the recent webinar: “Mastering the Marketing Rule” as a panel of…

Compliance never sleeps, but Brexit, the EU SFDR and UCITS to PRIIPs do not have to keep you up at…

CSS’s team of current and former Chief Compliance Officers discuss the practical and proactive actions to take to ensure your…

2021 marks the second consecutive year CSS has been awarded for itsinnovative regulatory compliance technology and services NEW YORK, January…

Investing in real estate has its own challenges and nuances. Among those is a decision many real estate fund managers…

A Guide to the Registration Process and the Continuing Obligations of Registered Investment Advisers Thinking of becoming an independent registered…

The topics of business continuity and succession planning became even more important for RIAs in 2020. This webinar discusses the…

Watch as CSS hosts a panel of thought leaders from the Fund Reporting industry to discuss a strategic approach to regulatory…

XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and…

A global Tier 1 asset manager decided to take a more holistic approach to their regulatory reporting by moving from…