The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,....
In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the......
The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. T...
The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many......
What’s worked Back in April 2021, when the SolarWinds hack was publicly disclosed, much of the world discovered just how......
On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations......
On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data......
In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give......
On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers......
For global investors, the accelerating pace of ESG regulatory developments portends a massive, additional layer of compliance obligations they will......
Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. T...
Investment strategies focusing on certain environmental or social themes have been around for a long time. Historically, these strategies were......
Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking......
The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021. On September......
Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT......
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…
The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,…
In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…
The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…
The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many…
What’s worked Back in April 2021, when the SolarWinds hack was publicly disclosed, much of the world discovered just how…
A new Q&A on the PRIIPs KID has just been released from ESMA. View it here. Some key updates include:…
As a follow up to our Coffee & Regs Podcast episode found here, we wanted to advise RIA that the…
View the CSS on-demand webinar A Fireside Chat with Dan Kahl, the Acting Director of the SEC’s Division of Examinations, followed by a…
On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…
Important ESG news for EU market participants: The European Commission, by letter to the EU Parliament and Council, has delayed…
On 22 November 2021, ESMA published its Final Report on its draft RTS relating to commodity derivatives under the MiFID…
On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data…