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......
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......
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…
2021 marks the second consecutive year CSS has been awarded for itsinnovative regulatory compliance technology and services NEW YORK, January…
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…
Investing in real estate has its own challenges and nuances. Among those is a decision many real estate fund managers…
A Guide to the Registration Process and the Continuing Obligations of Registered Investment Advisers Thinking of becoming an independent registered…
The topics of business continuity and succession planning became even more important for RIAs in 2020. This webinar discusses the…
SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with…
Watch as CSS hosts a panel of thought leaders from the Fund Reporting industry to discuss a strategic approach to regulatory…
ESG – the integration of environmental, social and governance considerations into the investment process – has claimed center stage in…
CSS invited ESG leader Simmons & Simmons to discuss the EU Sustainable Finance Disclosure Regulation (SFDR). The deadline for the SFDR Level…
XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and…