November 1, 2018
The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using…
CSS Blog
October 22, 2018
Ascendant/CSS San Diego Conference Another compliance conference is in the books. We had a great time in San Diego, and…
October 18, 2018
Over a year ago, OCIE released the Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations…
October 17, 2018
Retail investors are confused! They fundamentally cannot differentiate between a broker-dealer and an investment adviser. And that has the SEC…
October 16, 2018
Thinking about how to make ethics and compliance part of a business’s decision-making can prove to be challenging. By nature,…
October 15, 2018
It’s no surprise that Compliance and IT do not speak the same language. Compliance staff often speak in terms of…
October 12, 2018
Advanced planning for a regulatory exam remains a vital step in ensuring the compliance team is prepared when the exam…
October 11, 2018
We live in a world filled with dramatic change on a scale we’ve never seen before. The speed and magnitude…
October 10, 2018
Data breaches and cyber incidents made headlines again recently with the announcement that 50 million Facebook accounts were compromised as…
October 9, 2018
When it comes to advertising, processes, procedures, and disclosure matter. Not everyone in a firm will understand the importance of…
October 8, 2018
Facebook just reported a massive data breach impacting over 50 million user accounts. And while most investment advisers are not…
October 1, 2018
At CSS, creating a strategic approach to regulatory obligations is in our DNA. It’s the very reason the company was…