Author: Compliance Solutions Strategies

On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in…

The capacity of financial firms to comply with the upcoming go-live of SFTR reporting obligations has been critically compromised by…

Global RegTech provider Compliance Solutions Strategies (CSS) today announces its release of Form CRS Automator, the market’s first comprehensive and fully…

Looming regulatory deadlines – such as the impending roll-out of Europe’s Securities Financing Transactions Regulation (SFTR) – are rarely welcomed…

Technology has done much to increase cost transparency in recent years, yielding considerable power – and savings – to consumers….

In order to pay federal taxes, many licensed, regulated, cannabis companies have to launder their cash. Why? Because banks will…

One week after the SEC adopted Regulation Best Interest and Form CRS, a Cincinnati roundtable hosted by Fort Washington Investment…

From the C-Suite to the Compliance Seat, executives, senior management, and risk management professionals have a very important role to play in driving their firms towards a more resilient organization.

Securities Financing Transaction Regulation (SFTR) reporting is rapidly taking shape as firms prepare to report with a phased in approach…

We’re still digesting all the great takeaways from the recent AIMA Global Policy & Regulatory Forum 2019. The theme was…

It’s Friday afternoon, and you’re planning to leave early and get a jump start on your weekend. You receive an email with the subject “Office 365 – Failed Login Attempts – Password Reset Required Immediately!” You wonder who tried to access your account or whether you forgot to logout of your email on the public computer at the hotel business center.

Would you buy a car without taking it for a test drive? It seems obvious you would want to know the vehicle has all its parts, and that those components work together to make the vehicle operate properly.