September 3, 2020
What makes one firm – and the various professionals who represent it – live and breathe by the book, while…
CSS Blog
September 2, 2020
On August 26, 2020, the Securities and Exchange Commission amended Rule 501(a) of the Securities Act of 1933, expanding the…
September 2, 2020
Throughout my career, I’ve never heard a business leader say compliance isn’t important. Time and again, through countless conversations and…
September 1, 2020
Being a Chief Compliance Officer navigating regulatory change is a lot like quarterbacking an offense in an action-packed (American) football…
August 31, 2020
The COVID-19 pandemic and related shutdown of global economies will be remembered as one of the most significant shocks to…
August 28, 2020
As a compliance professional, the past months have probably been the most challenging of your career. Events, whether COVID-19, significant…
August 27, 2020
How prepared was your firm for the disruption of COVID-19 pandemic? Did your firm’s business continuity plan cover a pandemic?…
August 21, 2020
A popular brand of VPN software recently had usernames, passwords, and IP addresses published on a dark web hacker forum…
August 16, 2020
The COVID-19 pandemic and the resulting market volatility have led several governments to amend law and regulation in the context…
August 13, 2020
A well-known New York-based financial institution is the most recent financial services firm to report a pair of data breaches…
August 12, 2020
The SEC’s “Office of Compliance Inspections and Examinations (“OCIE”) issued an Alert today regarding “Select COVID-19 Compliance Risks for Investment…
August 7, 2020
Let us be clear…. we’re actually talking about the potential increase in production of point-of-investment disclosure documents for investment managers….