April 2, 2020
Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce…
CSS Blog
March 30, 2020
The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry…
March 27, 2020
In addition to the SEC providing relief and support to investment advisers, the North American Securities Administrators’ Association (NASAA) and…
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
On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in…
March 23, 2020
During the last week, the CFTC issued several no-action letters aimed at providing temporary relief from certain recordkeeping, operations requirements,…
March 19, 2020
The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…
March 19, 2020
The capacity of financial firms to comply with the upcoming go-live of SFTR reporting obligations has been critically compromised by…
March 13, 2020
The rapid expansion of the novel coronavirus and the COVID-19 pandemic has caused extreme stress if not panic throughout the…
March 10, 2020
The SEC continues to scrutinize principal and cross-trade transactions in the private fund world. Are such trades illegal? No. In…
February 27, 2020
While the SEC moved full force in adopting Regulation Best Interest and Form CRS, state regulators were fairly silent on…
February 12, 2020
Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…