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......
A large cyberattack on U.S. infrastructure – this time a ransomware attack that shut down the Colonial Pipeline – has......
The new Marketing Rule (Rule 206(4)-1 under the Investment Advisers Act of 1940) is effective on May 4, 2021, starting......
ESMA has recently suggested to national regulators across the EU that they de-prioritize enforcement of MiFID II position limits on......
In recent years, investor awareness regarding environmental, social and governance issues (“ESG”) has grown and investors increasingly look for in...
Jurisdictions are creating privacy laws with competing interests of protecting consumer data without unnecessarily impeding companies’ ability t...
On 30 March 2021, ESMA published the final report on the back of the consultation paper from 24 September regarding......
Many state and local government pension funds use third-party investment advisers to manage assets within their pension plans. Pension fund......
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,......
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…
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…
Position Limit Monitoring requires the regular sourcing of limits from exchanges and regulators to ensure that the most current limits…
The Colorado Legislature recently strengthened personal data privacy rights with the passing of the Colorado Privacy Act (Bill SB21-190), becoming…
The SEC has proposed a busy regulatory agenda. Among the topics listed are: ESG (proposal stage) Cybersecurity risk disclosure (proposal…
Gartner predicts that by 2023, 65% of the global population will be covered by privacy regulations and by 2024, over…
A CSS Webinar on How to Optimize Your Compliance Program Heading a compliance program, often with limited time and resources and a…
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…
The Securities and Exchange Commission (SEC) published a report on Cybersecurity and Resiliency Observations and several risk alerts in which…
The UK government has extended the exemption for UCITS funds from the rules governing packaged retail investment and insurance-based products (PRIIPs)…