February 11, 2019 Coming to America – California Adopts GDPR-Like Privacy Regulation After a number of firms struggled last year to get their marketing and information systems into compliance with the EU’s…
February 8, 2019 An Overview of MMFR – Article 37 Reporting Requirements The European Union’s Money Market Funds Regulation (MMFR) applies to any Money Market Fund (MMF) that is authorized as a…
January 28, 2019 SEC Reopened After 35-Day Government Shutdown SEC Chairman Jay Clayton announced on Saturday, January 26 that with an agreement reached to end the government shutdown, the “Commission…
January 25, 2019 FINRA Rolls Out New Central Registration Depository Functionality; Annual Verification Deadline Nears FINRA first introduced enhancements to the Central Registration Depository (“CRD”) on October 1, 2018, which were rolled out in support…
January 16, 2019 Report on Operation of AIFMD Highlights Existing Issues On 10 January 2019, the European Commission (EC) published a report on the operation of the Alternative Investment Fund Managers…
January 7, 2019 SEC’s Latest Risk Alert Focuses on Electronic Communications The SEC’s most recent risk alert, “Observations from Investment Adviser Examinations Relating to Electronic Messaging,” issued on December 14, 2019,…
December 21, 2018 SEC OCIE Issues 2019 Examination Priorities Well ahead of the New Year, the SEC Office of Compliance Inspections and Examinations (OCIE) announced its 2019 examination priorities….
December 19, 2018 CSS Shortlisted for Two HFM US Hedge Fund Technology Awards We are proud to announce that Compliance Solutions Strategies has been shortlisted in two categories for the HFM US Hedge…
December 13, 2018 European Commission Approves Draft Technical Standard for SFTR After several delays earlier this year, the European Commission has finally approved the draft technical standard (RTS) for SFTR. The…
December 4, 2018 A New View of How Technology Will Change the Emerging Crytpo-Economy From the top of the world, it’s amazing what you can see. I recently had the opportunity to travel to…
November 12, 2018 SEC Retail Investor Focus Turns Towards Registered Investment Companies Earlier this year when the SEC’s Office of Compliance Inspections and Examinations (“OCIE”) announced its 2018 examination priorities, OCIE stated…
November 9, 2018 SEC Alerts Investment Advisers to Review Solicitor Arrangements On October 31, OCIE issued a new Risk Alert for investment advisers with solicitor arrangements. The SEC periodically releases risk…