Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT......
As the world prepares to address emerging COVID variants, there is another threat to people’s security: emerging ransomware variants. As......
On July 21, 2021, the SEC’s Division of Examinations released a Risk Alert addressing their observations from examinations of investment......
Fresh off the plane from attending the DEF CON 29 hacker conference held at Paris and Bally’s hotels in Las......
How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of......
Of course, if you are reading this blog post, you likely are not the type of person to sell or......
It’s déjà vu all over again for cybersecurity professionals around the world, many of whom are now scrambling to recover......
Compliance departments were no strangers to constraints during the pandemic. They were yet another area of the investment man...
Are you tired of spending hours opening envelopes, stapling statements together, logging the receipt of statements in a spreadsheet, and......
A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they...
We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather......
Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is......
This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews......
When the SEC set out to require registered investment advisers to implement a compliance program and designate a chief compliance......
If there is one certainty about regulatory compliance, it is that nothing is static (isn’t that one of the things......
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
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…
Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT…
ESMA has released an updated list of third-country markets considered as equivalent to a regulated market in the Union for…
View the recent “For CCOs, By CCOs” webinar on “Regulatory Exam Insights” for actionable takeaways on: Exam Priorities – Compensation arrangements,…
Here’s a quick update on the various moving parts on PRIIPs and the RTS as it moves through the EU…
Today (September 7, 2021) the EU Commission announced the adoption of the PRIIPs RTS with the effective transition date for…
CSS awarded for its digital transformation technology and data analytics solutions which enable clients to move from tactical to strategic…
As the world prepares to address emerging COVID variants, there is another threat to people’s security: emerging ransomware variants. As…
Holders of securities on European markets: Today ESMA issued a new edition of its must-have reference for investment managers notifying…
The CFTC imposed a $1.5 million fine on a major global food processor for position limit and related violations. See…
SEC charges three firms for cyber deficiencies when phishing attacks and credential stuffing resulted in the firms’ cloud-based email accounts…
ICYMI – ESMA has published new SFTR validation rules and an updated version of the ISO 20022 xml-schema applicable from…
On the 15 July 2021 an 8-week consultation was kicked off by The European Commission that closes on 9 September…