April 30, 2019
Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the…
CSS Blog
April 29, 2019
One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading…
April 25, 2019
Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…
April 23, 2019
United States and European Union reporting requirements imposed on investment managers have exploded since the Global Financial Crisis and, with…
April 11, 2019
You timely filed your Form ADV within 90 days of fiscal year end, but, did you properly answer all the…
April 5, 2019
Guest post by Samson Williams, Partner – Axes & Eggs and Keynote Speaker – Ascendant CSS Spring 2019 Conference I…
April 3, 2019
The European Securities and Markets Authority (ESMA) has updated its Questions and Answers on the application of the Alternative Investment…
March 15, 2019
The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance…
February 28, 2019
The SEC announced on Wednesday, Feb. 27 that it approved an interim final rule amending the timing requirements for filing…
February 22, 2019
Consider joining us in Miami from April 15-17 to examine the implications of new and evolving regulations and technologies, explore…
February 22, 2019
Fresh from our London conference “Looking at the Year Ahead – Global Compliance and Data Priorities” – a rousing success! – we’ll cover takeaways from a key panel discussion on shareholder monitoring and disclosures.
February 20, 2019
Compliance programs face challenges in balancing global requirements with local exceptions while incorporating the fast pace of regulatory change, addressing…