July 3, 2020
The CFTC announced in June that it would extend many of the no-action relief letters that were set to expire on June 30 due to COVID-19.
Author: Compliance Solutions Strategies
June 23, 2020
What You Should Consider Before Transitioning From CME/NEX Abide Even though the portability flows can look quite basic at a…
June 19, 2020
The market disruption due to COVID-19 placed extraordinary strains on reporting regimes. Periodic bans and reduced thresholds presented an additional…
June 18, 2020
In today’s world, Chief Compliance Officers and compliance teams are experiencing many unexpected challenges. This is in addition to the…
June 10, 2020
View our CSS & Mintz webinar to see results from the 2020 BCP & Cybersecurity Survey to benchmark your firm’s…
June 4, 2020
Join CSS regulatory experts to learn about enhancements to the Sensitive Industries module on CSS’s Signal platform. This webinar provides…
June 2, 2020
The market disruption due to COVID-19 placed extraordinary strains on reporting regimes. Periodic bans and reduced thresholds presented an additional…
May 29, 2020
Don’t panic, CSS’s “Time to Hit the Form CRS Panic Button” ComplianceCast webinar, recorded on May 28 at 2:00 pm…
May 21, 2020
We help you prepare by tackling a number of key issues: How will the SEC and FINRA assess your Reg…
March 26, 2020
On March 25, 2020, the SEC issued a new Order extending and relaxing some of the conditions pertaining to the…
March 24, 2020
CHICAGO, March 24, 2020 — Envestnet, Inc. (NYSE: ENV) has entered into a strategic partnership with Compliance Solutions Strategies (CSS) to offer a comprehensive,…
March 24, 2020
On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in…