November 26, 2019 CSS Named to RegTech 100 List of World’s Most Innovative RegTech Companies NEW YORK – Compliance Solutions Strategies (CSS) is proud to announce its inclusion in the RegTech 100 for 2020, a…
November 19, 2019 Proposed Amendments to Transaction Cost Calculations under PRIIPs The European Supervisory Authorities (ESAs) recently issued a consultation paper that includes two draft proposals for changes to transaction cost…
November 13, 2019 Introducing the Regulatory Book of Record (RBOR) I recently had the opportunity to sit down with our Chief Product Officer Ronan Brennan to discuss regulatory data management…
November 12, 2019 SEC Sets Clear Expectations Regarding Registered Investment Companies’ Compliance Programs Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of…
November 5, 2019 SEC Proposes Amendments to Advertising Rules In a proposal that would mark the first changes since 1961, the SEC has introduced amendments to modify the “Advertisements…
November 5, 2019 Roadmap to Conducting Annual Compliance Reviews The “annual” in annual review is a misnomer! That was one of the key takeaways from a session conducted at…
November 1, 2019 Technology Advances Here and On the Way for Form CRS CSS featured a strong presence at the recent 2019 BAM + Loring Ward Advisor National Conference in St. Louis, Mo….
October 23, 2019 How to Become a Compliance Influencer Long gone are the days when compliance was grudgingly accepted as a necessary optic to largely allay the regulators and…
October 22, 2019 Tips From the Field to Enhance Your Compliance and Supervisory Programs At the recent CSS Fall 2019 Conference, experienced professionals Jeff Blumberg of Faegre Baker Daniels and John Gentile of CSS…
October 18, 2019 As SFTR Deadline Looms, Time to Take Control of Your Data Looming regulatory deadlines – such as the impending roll-out of Europe’s Securities Financing Transactions Regulation (SFTR) – are rarely welcomed…
October 17, 2019 Data Quality the Key to Meeting Challenge and Opportunity of Cost Transparency Technology has done much to increase cost transparency in recent years, yielding considerable power – and savings – to consumers….
October 15, 2019 Tips to Prevent an SEC OCIE Investment Adviser Exam from Going Bad Strategies to employ when an SEC OCIE adviser exam goes bad drew a great crowd at the recent CSS Ascendant…