A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance.
The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The Compliance Solutions Strategies weekly podcast features regulatory experts, former Chief Compliance Officers, industry partners and RegTech collaborators to help prepare buy-side and sell-side firms for changes on the regulatory horizon.
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In this episode, CSS’s Executive Director Jackie Hallihan sits down with Senior Consultant Adam DiPaolo to read the tea leaves...
In this episode, CSS’s SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss a post-Brexit...
In this episode, SVP of Business Development at CSS Ashley Smith sits down with two insurance and Solvency II experts...
In this episode, CSS’s Chief Product Officer Ronan Brennan represents the EU and President of CSS John Lee represents the...
In this episode, Chief Product Officer of CSS Ronan Brennan joins Natalie Silverman to discuss all things Brexit in Part...
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak and Legal Director at ZwillGen Jason Wool talk about...
In this episode, CSS’s Chief Product Officer Ronan Brennan and Regulatory Guidance & ESG Specialist Marye Cherry talk about all...
In this episode, CSS’s team of former Chief Compliance Officers Dan Haynes and Ariana Monchick sit down to discuss the...
In this episode, CSS’s team of former Chief Compliance Officers Allison Fraser and Matt Calabro sit down to discuss why...
In this episode, CSS’s team of former Chief Compliance Officers Korrine Kohm and Victoria Olson sit down to discuss why...
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency...
In this special Brexit episode, CSS’s Chief Product Officer Ronan Brennan sits down with the authority on global financial services...
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Chair of the Privacy & Cybersecurity Practice...
In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Product Manager Brian DeDonato to talk about the...
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Detected CEO Liam Chennells to kick off...
In this episode, Chief Client Officer at CSS, Jac Dunne joins Natalie Silverman to discuss why more investment management firms...
In this episode, Managing Director in Accenture’s Risk Practice, Dr. Rafael Gomes joins Natalie Silverman to discuss Compliance-as-a-Service – an...
In this episode, Chief Product Officer of CSS, Ronan Brennan joins Natalie Silverman to discuss cross-border complexities from the transition...
In this episode, CSS’s Co-Executive Directors of Compliance Services, Keith Marks and Jackie Hallihan walk through a retrospective of Form...
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup and regulatory expert and Founder of Laurellis Associates,...
In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Product Officer Ronan Brennan to talk...
In this episode, the founder and CEO of COMBINER and previous curator at the Nobel Prize Museum Tobias Degsell joins...
In this episode, former Chief Compliance Officer and CSS’s Compliance Consultant Victoria Olson joins Natalie Silverman to discuss how CCOs...
In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Dan Haynes joins Natalie Silverman to discuss how a CCO can earn a seat at the executive table and ways compliance teams can partner with the business to win trust.
In this episode, former Chief Compliance Officer and CSS’s Director of Retail Wealth Manager Services Korrine Kohm joins Natalie Silverman...
In this episode, former CSS’s Director of Cyber IT Services E.J Yerzak joins Natalie Silverman to discuss everything from hackers and the dark web to how COVID-19 has reminded financial firms of the importance of cybersecurity and business continuity planning.
In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Ariana Monchick joins Natalie Silverman to talk about the...
In this episode, CSS’s Regulatory Compliance Expert Greg Hotaling sits down with Head of Shareholding Disclosure at aosphere LLP Faye Sutherland to discuss what's next on the regulatory horizon in the second half of 2020.
In this episode, former Chief Compliance Officer and CSS’s Director of Institutional Wealth Manager Services Matt Calabro joins Natalie Silverman...
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Head of Business Development at...
In this episode, former Chief Compliance Officer and CSS’s Director of RIC Services Allison Fraser joins Natalie Silverman to discuss...
In this episode, CSS’s Regulatory Content Manager Greg Hotaling and Product Manager Mike Marmo discuss the market disruption due to...
In this episode, CSS’s Regulatory Guidance Specialist Marye Cherry and Regulatory Content Manager Greg Hotaling discuss the complexities around sensitive...
In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss moving from a tactical to strategic...
Watch the Fireside Chat with Pete Driscoll, the Director of the SEC’s Office of Compliance Inspections (OCIE), followed by a…
CSS’s Regulatory Guidance experts discuss the latest global developments and how to take a more proactive and strategic approach to…
Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading…
2021 marks the second consecutive year CSS has been awarded for itsinnovative regulatory compliance technology and services NEW YORK, January…
The UK and EU have finally agreed to terms on Brexit that will likely lead to ratification of an historically…
In late 2022, SEC registered investment advisers will be required to comply with new marketing and client solicitation rule-making, adopted…
Investing in real estate has its own challenges and nuances. Among those is a decision many real estate fund managers…
A Guide to the Registration Process and the Continuing Obligations of Registered Investment Advisers Thinking of becoming an independent registered…
The topics of business continuity and succession planning became even more important for RIAs in 2020. This webinar discusses the…
SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with…
Watch as CSS hosts a panel of thought leaders from the Fund Reporting industry to discuss a strategic approach to regulatory…
ESG – the integration of environmental, social and governance considerations into the investment process – has claimed center stage in…
CSS invited ESG leader Simmons & Simmons to discuss the EU Sustainable Finance Disclosure Regulation (SFDR). The deadline for the SFDR Level…
XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and…