May 31, 2016
A 2013 speech by Stephen L. Cohen, Associate Director of Enforcement of the SEC, highlighted the importance of corporate compliance…
CSS Blog
May 25, 2016
Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.
May 25, 2016
With investment advisers encouraged to begin filing suspicious activity reports (SARs) as soon as possible upon the issuance of the final anti-money…
May 20, 2016
CCOs are worried about CCO liability due to various concerns and confusions.
May 19, 2016
In a first for the country’s growing body of state breach notification laws, Tennessee has recently amended its law to…
May 17, 2016
The IAA has announced its public support of a bill that would provide relief from the “past specific recommendation” rule
May 16, 2016
The CRD system’s balance representation’s will now be much more intuitive.
May 16, 2016
For some attacks, the amount of time to compromise and exfiltrate data is measured in seconds. Time is of the essence when a potential incident occurs.