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 Regulatory Content Manager Greg Hotaling and Product Manager Mike Marmo recap the world of investment monitoring...
In this episode, CSS’s SVP of Business Development Ashley Smith takes a trip around the world to discuss evolutionary changes...
In this episode, CSS’s Transaction Reporting product team of Alexis Wiazmitinoff and Nicklas Nilsson make predictions on trends in transaction reporting...
In this episode, CSS’s Chief Product Officer Ronan Brennan makes predictions for PRIIPs and how the regulatory landscape in 2022...
In this episode, CSS’s team of cybersecurity experts E.J. Yerzak and Mike Farrell recap the 2021 cybersecurity landscape and predict...
In this special episode, CSS’s Director of Retail Wealth Manager Services Korrine Kohm and William R. Carrigan, Deputy Commissioner, Securities...
In this episode, CSS’s SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss the latest on...
In this episode, CSS’s team of CCOs Matt Calabro and Victoria Olson discuss how CCOs can prepare now for what’s...
In this episode, Founder and CEO at CyberVista, Simone Petrella and CSS’s Director of Cyber IT Services, E.J. Yerzak discuss...
In this episode, Vice Chair of Financial Services at KPMG UK, and former parliamentarian, Dr. Kay Swinburne and CSS’s Chief...
In this episode, Director of Registered Investment Company Services, Allison Fraser and Director of Broker-Dealer Services & Private Funds, John Gentile...
In this episode, CSS’s Regulatory Content Manager, Greg Hotaling and Head of Shareholding Disclosure at aosphere LLP, Faye Sutherland discuss...
In this episode, CSS’s team of cybersecurity experts E.J. Yerzak and Mike Farrell kick off Cybersecurity Awareness Month discussing the...
In this episode, CSS’s team of CCO experts Korrine Kohm and Dan Haynes discuss regulatory examinations, SEC priorities and trends...
In this episode, CSS’s Chief Product Officer Ronan Brennan does a technical deeper dive into the latest news on the...
In this second episode of a special two-part series on ESG, CSS’s Regulatory Content Manager, Greg Hotaling and ESG Specialist,...
In this episode of a special two-part series on ESG, CSS’s Regulatory Content Manager, Greg Hotaling and ESG Specialist, Marye...
In this episode, CSS’s Head of ESG, Marye Cherry discusses the latest updates on ESG, including the delay to the...
In this episode, CSS’s Executive Director, Jackie Hallihan and Senior Consultant, Adam DiPaolo discuss observations on the mood of compliance,...
In this episode, CSS’s Director of Retail Wealth Manager Services, Korrine Kohm and Founder of Transition To RIA, Brad Wales...
In this episode, our team of private funds experts, John Gentile, Eugenie Warner and Adam DiPaolo, discuss how private funds...
In this episode, our team of former CCOs, Dan Haynes and Victoria Olson discuss why a code of ethics tool...
In this episode, CSS’s Director of Cyber IT Services, E.J. Yerzak sits down with Co-Founder and COO of TerraTrue, Chris...
In this episode, our team of global transaction reporting experts, Alexis Wiazmitinoff and Nicklas Nilsson discuss changes coming to EMIR...
In this episode, our team of cybersecurity experts, E.J. Yerzak and Mike Farrell discuss the latest ransomware attacks in the...
In this episode, former CCOs Korrine Kohm and Ariana Monchick discuss compliance management and how to expand and optimize your...
In this episode, CSS’s Director of Broker-Dealer Services and Private Funds John Gentile sits down with Chief Executive Officer &...
In this episode, CSS’s former CCOs Allison Fraser and Matt Calabro sit down to discuss trade surveillance and how CCOs...
In this episode, CSS’s Regulatory Content Manager Greg Hotaling sits down with Head of Product for CSS’s Investment Monitoring solution,...
In this episode, CSS’s Director of Registered Investment Company Services Allison Fraser sits down with Partner at Morgan Lewis, Laura...
In this episode, CSS’s Head of ESG Marye Cherry sits down with corporate attorney at Scale LLP, Adam Johnson to...
In this episode, CSS’s Director of Private Funds and a former SEC regulator, John Gentile sits down with Senior Vice...
In this special episode, CSS’s Chief Revenue Officer Terence Faherty takes a break from compliance and sits down with Managing...
In this episode, CSS’s Director of Broker-Dealer Services and a former regulator, John Gentile and Executive Director, Jackie Hallihan sit...
In this episode, former CCOs and CSS’s compliance services experts in retail and institutional wealth manager services, Korrine Kohm and...
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency...
In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Regulatory Specialist Nicklas Nilsson to discuss the latest...
In this episode, CSS’s Co-Executive Directors of Compliance Services Keith Marks and Jackie Hallihan sit down to discuss actionable takeaways...
In this episode, CSS’s resident document production experts, Shane O’Sullivan and Charles Seigle-Goujon sit down to discuss how to prepare...
In this episode, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent...
In this episode, former Chief Compliance Officers Allison Fraser and Victoria Olson sit down to discuss a playbook for regulatory...
In this episode, former Chief Compliance Officers Korrine Kohm and Ariana Monchick discuss CCO liability, ways to avoid enforcement and...
In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss what the future of RegTech looks like...
In this episode, CSS’s Regulatory Guidance and ESG Specialist Marye Cherry sits down with Vanessa Barnett, Senior Vice President, Global...
In this episode, CSS’s Regulatory Content Manager Greg Hotaling sits down with Faye Sutherland, Head of Shareholding Disclosure of aosphere...
In this episode, CSS’s ESG experts Marye Cherry and Ronan Brennan talk about the latest developments with the EU Sustainable...
In this episode, CSS’s team of former Chief Compliance Officers Matt Calabro and Dan Haynes take a look at the...
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Regulatory Specialist Nicklas Nilsson for...
In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Client Officer Jac Dunne to take...
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...
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Ascendant summarizes SEC and FINRA exam priority letters, highlighting key topics to investment advisers and broker-dealers, along with practical advice.
Ascendant Compliance Management announces its partnership with Compliance Solutions Strategies (“CSS”), a newly founded global compliance risk management company.
The SEC met its stated fiscal year 2016 goal by examining 11 percent of the investment adviser pool, meaning over 1,300 advisers were covered.
Some SEC exams might not focus on cyber at all, but the ones that do are likely to now include a more in-depth examination of it.
New York’s 23 NYCRR 500 Cybersecurity rule goes into effect on March 1, 2017 requiring banks and other financial services companies to establish and maintain a cybersecurity program designed to protect consumers and ensure the safety and soundness of the state’s financial services industry.
The SEC’s Office of Compliance and Examinations (“OCIE”) released its Examination Priorities for 2017 with a focus on “certain practices, products, and services that OCIE perceives to present potentially heightened risk to investors and/or the integrity of the U.S. capital markets.”
As 2017 begins to take shape, Ascendant reviews new investment adviser regulatory trends across the DOL Fiduciary Rule, the November Election, and Dodd-Frank regulation
In an October 2013 speech that delved into CCO liability, SEC Chair Mary Jo White said, “(a)lthough we do occasionally bring enforcement actions against compliance personnel, compliance officers who perform their responsibilities diligently, in good faith, and in compliance with the law are our partners and need not fear enforcement action.”
AML. DOL. Big Data. Election 2016. The list of rulemaking changes, technology advancements and possible policy shifts is enough to send…
Rule 206(4)-7 of the Advisers Act and Rule 38a-1 of the Investment Company Act require an Investment Adviser and a…
Big data is now embedded into the fabric of the SEC and will likely inform the selection of examination targets…
With a continued focus on technology tools to filter data and detect illegal conduct in the markets, the SEC announced a record year for enforcement. In fiscal year 2016, it completed 868 total actions, an increase of almost 15 percent over just two years ago.
