On March 3, 2021, the SEC’s Division of Examinations (“Division”) released their examination priorities (“Release”) for 2021. The Release re...
Peter Driscoll, Director of the SEC’s Division of Examinations, told attendees at the Investment Adviser Association meeting March 4, 2021......
The Securities and Exchange Commission has released its 2021 Examination Priorities a little later this year than in years past,......
On March 5, 2021, the new Marketing Rule for SEC registered RIAs was published in the Federal Register. The effective date......
It’s almost mid-February, and we’ve come out of the January haze. Now we have a bit more information on where......
The ESAs (the trinity of the ECB, EIOPA & ESMA) relented to pressure from the EU Commission to submit the......
The investment fund industry is eagerly awaiting the result of a new vote in EIOPA on Level 2 changes for......
The Big Short. Or Long. Whatever your strategy, the drama currently being played out between hedge funds and retail investors —......
First, a bit of background: On December 2, 2020 the New York State Department of Law adopted new regulations, to......
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......
SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with......
ESG – the integration of environmental, social and governance considerations into the investment process – has claimed center stage in......
Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment......
It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also......
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…
On March 3, 2021, the SEC’s Division of Examinations (“Division”) released their examination priorities (“Release”) for 2021. The Release represents…
Peter Driscoll, Director of the SEC’s Division of Examinations, told attendees at the Investment Adviser Association meeting March 4, 2021…
The Securities and Exchange Commission has released its 2021 Examination Priorities a little later this year than in years past,…
On March 5, 2021, the new Marketing Rule for SEC registered RIAs was published in the Federal Register. The effective date…
Compliance never sleeps, but Brexit, the EU SFDR and UCITS to PRIIPs do not have to keep you up at…
It’s almost mid-February, and we’ve come out of the January haze. Now we have a bit more information on where…
The ESAs (the trinity of the ECB, EIOPA & ESMA) relented to pressure from the EU Commission to submit the…
The investment fund industry is eagerly awaiting the result of a new vote in EIOPA on Level 2 changes for…
The Big Short. Or Long. Whatever your strategy, the drama currently being played out between hedge funds and retail investors —…
CSS’s team of current and former Chief Compliance Officers discuss the practical and proactive actions to take to ensure your…
First, a bit of background: On December 2, 2020 the New York State Department of Law adopted new regulations, to…
2021 marks the second consecutive year CSS has been awarded for itsinnovative regulatory compliance technology and services NEW YORK, January…