Author: Michael Chiappetta

Investment advisers and broker-dealers are required to file Form CRS with the SEC or FINRA by June 30, 2020. For compliance…

Break down and explore how firms can tactically and strategically cope with and stay ahead of the data challenges, filing…

For years, Tobias Degsell served as a curator and museum educator at the Nobel Prize Museum, an institution renowned for…

Staying informed and responding to changes in shareholding disclosure obligations across multiple jurisdictions is a formidable challenge facing global investment…

NEW YORK – Compliance Solutions Strategies (CSS) is proud to announce its inclusion in the RegTech 100 for 2020, a…

In a much-anticipated move, the Securities and Exchange Commission (the “Commission” or the “SEC”) recently voted to propose amendments to…

In this ComplianceCast webinar, co-executive directors of CSS compliance services Jackie Hallihan and Keith Marks address the challenges of Form…

Written ethical standards are useless if employees – especially a firm’s leadership – don’t follow them. CSS Ascendant Consultant Victoria…

Cyber regulations are changing with the speed of light, with the SEC, FINRA, CFTC, and NFA all issuing risk alerts…

Investment Advisers must perform an annual evaluation of the effectiveness of their compliance program. This starts with ensuring, maintaining and…

If you’ve been considering joining us in Scottsdale for our Sept. 23-25 compliance event, here are seven reasons you should…

At CSS, creating a strategic approach to regulatory obligations is in our DNA. It’s the very reason the company was…