It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also......
In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed......
Cybersecurity is a fast-moving target, so it is not uncommon for firms to have questions when it comes to assessing......
This is the second installment of Regulatory Guidance Expert Greg Hotaling’s blog on position limits, this time addressing EU-listed commodity......
On October 8, 2020 the SEC published updated FAQs regarding the disciplinary question in Form CRS. In an unusual step,......
On July 21, 2020, The New York State Department of Financial Services (NYDFS) filed its first charges under its Cybersecurity......
Every once in a while, I think it’s important to get back to the basics. Since the adoption of the......
What makes one firm – and the various professionals who represent it – live and breathe by the book, while......
On August 26, 2020, the Securities and Exchange Commission amended Rule 501(a) of the Securities Act of 1933, expanding the......
Throughout my career, I’ve never heard a business leader say compliance isn’t important. Time and again, through countless conversations and......
Being a Chief Compliance Officer navigating regulatory change is a lot like quarterbacking an offense in an action-packed (American) football......
The COVID-19 pandemic and related shutdown of global economies will be remembered as one of the most significant shocks to......
As a compliance professional, the past months have probably been the most challenging of your career. Events, whether COVID-19, significant......
How prepared was your firm for the disruption of COVID-19 pandemic? Did your firm’s business continuity plan cover a pandemic?......
A popular brand of VPN software recently had usernames, passwords, and IP addresses published on a dark web hacker forum......
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…
XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and…
A global Tier 1 asset manager decided to take a more holistic approach to their regulatory reporting by moving from…
CSS was selected as the strategic partner to help a global Tier 1 investment manager move from a tactical to…
Initial Considerations and Finding Strategic Partners Thinking of becoming an independent registered investment adviser? This informative two-part ComplianceCast webinar series…
It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also…
This webinar focuses on the specific concerns that have been raised by the SEC regarding private fund advisers in their…
This recorded webinar features our team of current and former Chief Compliance Officers, all of whom have walked in your…
In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed…
Cybersecurity is a fast-moving target, so it is not uncommon for firms to have questions when it comes to assessing…
This is the second installment of Regulatory Guidance Expert Greg Hotaling’s blog on position limits, this time addressing EU-listed commodity…
On October 8, 2020 the SEC published updated FAQs regarding the disciplinary question in Form CRS. In an unusual step,…