January 31, 2020
On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated…
CSS Blog
January 29, 2020
As the June 30, 2020 compliance date for the SEC’s Regulation Best Interest (“Reg BI”) draws near, broker-dealers are scrambling…
January 28, 2020
In advance of National Data Privacy Day today, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE)…
January 25, 2020
The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on…
January 23, 2020
No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning….
January 17, 2020
Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s…
January 8, 2020
Global RegTech provider Compliance Solutions Strategies (CSS) today announces its release of Form CRS Automator, the market’s first comprehensive and fully…
December 19, 2019
FINRA has consolidated its three examination programs into a single program, a process that started in October 2018. As part…
December 19, 2019
For years, Tobias Degsell served as a curator and museum educator at the Nobel Prize Museum, an institution renowned for…
December 18, 2019
Staying informed and responding to changes in shareholding disclosure obligations across multiple jurisdictions is a formidable challenge facing global investment…
December 9, 2019
With less than one month before the California Consumer Privacy Act (CCPA) is effective, companies are preparing to update their…
December 5, 2019
The European Securities and Markets Authority (ESMA) has updated its Questions and Answers on the Alternative Investment Fund Managers Directive (AIFMD). One new…