January 4, 2021
The UK and EU have finally agreed to terms on Brexit that will likely lead to ratification of an historically…
CSS Blog
December 22, 2020
In late 2022, SEC registered investment advisers will be required to comply with new marketing and client solicitation rule-making, adopted…
December 2, 2020
SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with…
November 30, 2020
ESG – the integration of environmental, social and governance considerations into the investment process – has claimed center stage in…
November 18, 2020
Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment…
October 30, 2020
It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also…
October 12, 2020
In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed…
October 12, 2020
Cybersecurity is a fast-moving target, so it is not uncommon for firms to have questions when it comes to assessing…
October 12, 2020
This is the second installment of Regulatory Guidance Expert Greg Hotaling’s blog on position limits, this time addressing EU-listed commodity…
October 12, 2020
On October 8, 2020 the SEC published updated FAQs regarding the disciplinary question in Form CRS. In an unusual step,…
October 2, 2020
On July 21, 2020, The New York State Department of Financial Services (NYDFS) filed its first charges under its Cybersecurity…
September 25, 2020
Every once in a while, I think it’s important to get back to the basics. Since the adoption of the…