Blog Archive

News, updates and analysis from around the world of compliance

March 8, 2023
Embracing Equity and the Power of Awareness, Representation, and Community
Q&A with Kirsten Garrett, CHRO, Confluence With over two decades of human resources leadership experience, Kirsten Garrett is an accomplished......
January 10, 2023
CSS’s top 5 most popular insights of 2022
As we leave 2022 behind and 2023 begins, make sure you didn’t miss a thing last year with this recap of our top insights....
December 19, 2022
New SEC Risk Alert Puts Investment Advisers’ Identity Theft Policies Under the Microscope
Identity theft is on the rise, and the U.S. Securities and Exchange Commission has taken notice of weaknesses in registered investment advisers’ controls....
November 15, 2022
ESG: As COP27 highlights climate urgency, notions of “sustainability” fracture
COP27, the UN’s annual climate change conference held this year in Egypt from 6 to 18 November with about 100 heads of state in attendance......
November 1, 2022
ESG Strategy: Think Regulation, Data, and Budget
This blog was originally published at Markets Media on October 7, 2022. Sustainable investing disclosures in the U.S. are currently governed by general fraud prohibitions in advertising and not by formal...
October 27, 2022
Navigating the SEC Marketing Rule: Keyways to Compliance
The SEC's new Marketing Rule that came into effect last year expanded the definition of advertising. It allows for marketing via new channels and enhances existing disclosure requirements. It will have significant compliance ...
October 7, 2022
SEC Cyber Rule Generates Concern Among Industry Experts
Author: E.J. Yerzak, Director, Cyber IT Services, CSS, a Confluence company The dust has barely settled on the U.S. Securities......
October 4, 2022
ESG Update for Investment Firms: The Data Problem and E.U. Response
“I am superior, sir, in many ways. But I would gladly give it up to be human.” - Data It’s an observation made by the fictional lieutenant commander in the 1987 pilot episode of Star Trek – The Next Generation...
September 30, 2022
Charting a Path to SFDR Deadlines: Optimizing ESG and EET data collection, quality and reliability
By Shane Flatman, Senior Product Manager – Compliance, Reporting, and Services, CSS, A Confluence Company The Sustainable Finance Disclosure Regulation (SFDR)......
September 27, 2022
Charting a Path to PRIIPS KID Deadlines: Four Months Left to Make Significant Data, Calculation and Filing Changes
Author: Shane Flatman, Senior Product Manager Compliance, Reporting and Services. Conversations with investment firms, management companies, fund administrators and industry attorneys have ramped up......
September 8, 2022
Key Takeaways on the SEC’s Draft Strategic Plan for 2022 – 2026¹
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public comment on......
September 7, 2022
The State of ESG Regulatory Reporting – and What it Means for Market Participants and Investors
Regulatory frameworks are quickly emerging to standardize the reporting and disclosure of ESG metrics across as many as 140 jurisdictions around......
August 11, 2022
New SEC Cybersecurity Rules Are Coming – The Time to Prepare is Now
Cyber risk for financial firms is about to get a lot more regulated. Announcing its most recent Regulatory Flex Agenda......
August 8, 2022
Key ESG Strategy Considerations
ESG investing is at the forefront of the industry and with ESG-related regulations coming soon, having a streamlined ESG strategy in place is key for building and retaining competitive advantages....
August 5, 2022
Aesop, the SEC, and the $2.5 Million Regulation S-ID Lesson
By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)......

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ESG Regulations Take Hold in Europe With Other Regions Set to Follow August 3, 2022
Five PRIIPs Reporting Challenges Asset Managers Need to Know July 29, 2022
Key Considerations When Replacing UCITS KIIDs With PRIIPs KIDs July 7, 2022
Climate-related Regulation of U.S. Derivatives Markets: the CFTC Asks You to Weigh In June 23, 2022
ESG Disclosures by Investment Firms: A Comprehensive Look at the SEC’s Proposal June 10, 2022
Observations from the Bitcoin Conference 2022: The Future is Now! April 18, 2022
To Elon Musk: there’s an app for that. It’s called Signal. April 8, 2022
After Small Steps, a Giant Leap for Climate-Related Disclosure in the U.S.? March 29, 2022
From Disclosure to Action March 17, 2022
SEC Proposes New Cybersecurity Risk Management Rules February 25, 2022
Proposed Rule: Amendments to Form PF February 22, 2022
ESG: SFDR’s “Article 10” website disclosures February 22, 2022
New SEC Rules Re-cap February 11, 2022
Private Fund Adviser Risk Alert Part II February 9, 2022
Adapting your RIA Compliance Program for Crypto January 7, 2022
Custody Rule Vigilance December 29, 2021
SEC Staff Statement on Form CRS Disclosures December 22, 2021
2021 RegTech in Retrospect December 22, 2021
Hackers Return to the Field with a Proven Playbook December 21, 2021
SEC Staff Issues Risk Alert on Robo-Advisers November 30, 2021
SEC Proposes Modernization to Process for Applications November 19, 2021
SEC Chair Gensler Puts Private Fund Advisers in the Spotlight November 12, 2021
Compensating Advisers: Compliance Updates from the Department of Labor November 8, 2021
Around the World in 10 Days: ESG Regulatory Developments October 27, 2021
Cryptocurrencies in Your Compliance Program October 12, 2021
Regulatory Examination Priorities & ESG Programs October 6, 2021
Regulatory Examination Priorities & Insights September 29, 2021
State Examinations on the Rise September 17, 2021
EMIR REFIT FAQs September 10, 2021
Evolving Threats: Battling COVID and Ransomware Variants September 3, 2021
Recent Risk Alert from the SEC’s Division of Examinations August 16, 2021
Hacking Tesla, Tractors, and the Hotel Elevator: Ten Observations from the DEF CON hacker conference in Las Vegas August 13, 2021
Show Me the Money July 29, 2021
The Dark Web Was Used to Sell Insider Trading “Tips;” From Where is Your Data Coming? July 20, 2021
Cyberattacks Continue to Wreak Havoc – What Can Compliance Teams Do? July 15, 2021
Expanding Your Compliance Program: Robust Compliance Management in a Post-Pandemic Era July 9, 2021
Expanding Your Compliance Program – Code of Ethics Management July 1, 2021
Let’s See All the Cards: Pre-Trade Monitoring and Position Limits June 21, 2021
Bitcoin Takeaways for Investment Advisers June 17, 2021
Expanding Your Compliance Program – Trade Surveillance June 15, 2021
Keeping Your Compliance Program on Track June 9, 2021
CCO Liability: Do you have a target on your back? June 2, 2021
Changing Times: How Compliance Officers Should Address Regulatory Changes May 26, 2021
DOL on the Prowl for Cybersecurity; Goes Further than SEC and NIST May 11, 2021
The New Marketing Rule – Develop Your Plan May 5, 2021
EU Relaxes its MiFID II Position Limit Regime May 3, 2021
SEC Reminds Advisers About ESG Practices April 26, 2021
Virginia Joins Growing List of Jurisdictions Regulating Data Privacy. What’s Next? April 20, 2021
MiFIR Final Report Analysis April 15, 2021
Public Pension Fund Independent Compliance Reviews April 6, 2021
SEC Releases 2021 Examination Priorities March 29, 2021
What is the First Document SEC Examiners Read? Form CRS March 25, 2021
SEC Expects Updated Cybersecurity / BCP Policies: Takeaways from the SEC’s 2021 Exam Priorities March 22, 2021
New Marketing Rule Effective May 4, 2021 March 11, 2021
Groundhog Day for Compliance & the SEC in 2021 February 11, 2021
ESAs Run Out of Options on PRIIPs KID as Draft RTS Has Been Submitted to the EU Commission February 4, 2021
It’s settled – the cart goes before the horse…for PRIIPs KID February 3, 2021
The Short Selling Saga: Market Volatility & Compliance January 29, 2021
New York State Mandatory Registration for Investment Adviser Representatives January 25, 2021
Brexit – A Free Trade Deal, Yet the Saga Continues January 4, 2021
SEC Adopts Changes to Marketing and Cash Solicitation Rule Frameworks December 22, 2020
CSS Hosts OCIE Director Pete Driscoll for a Virtual Fireside Chat December 2, 2020
The Moving Target of ESG Regulation in the EU November 30, 2020
Form CRS “Fiduciary” Guidance Received by IAA in June 2019 Still Valid November 18, 2020
Time to Use the Bat Phone: Who to Call When a Compliance Officer Needs Help? October 30, 2020
Texas Outlaws and a Silver Bullet: Position Limits in the USA October 12, 2020
FAQs From the Cyber Desk October 12, 2020
EU Position Limits: Born in the USA? October 12, 2020
Double-Check the Disciplinary Response in Form CRS, Especially Checking Histories of Financial Pros October 12, 2020
First Charges Filed Under NYDFS Cybersecurity Regulations October 2, 2020
From One CCO to Another: Don’t Lie to the SEC September 25, 2020
Compliance Culture in a Bottle September 3, 2020
The SEC Amends the Definition of “Accredited Investor” and the Debate Over Private Market Protections Continues September 2, 2020
Gaining a Seat at the Table – Influencing from Within September 2, 2020
Navigating Regulatory Change: How to Win the Regulatory Game September 1, 2020
The Lasting Impact of COVID-19 on Investment Management August 31, 2020
Business Continuity and Preparing for Regulatory Exams Post-Pandemic August 28, 2020
The Case for an Interim Evaluation of your Compliance Program August 27, 2020
The Door is Wide Open: Unpatched Security Flaw Leads to Leak of Login Credentials for 900+ Enterprise VPNs August 21, 2020
Q&A on Sensitive Industries with Marye Cherry, CSS’s Regulatory Guidance Expert August 16, 2020
An unusual data breach: One without actual theft and that hasn’t caused harm…yet! August 13, 2020
Breakdown of OCIE’s COVID-19 Compliance Risks Alert August 12, 2020
Are Investment Managers Going to Have More KIDs? August 7, 2020
Do You Feel Confident Your Password Hasn’t Been Hacked? August 5, 2020
SEC’s New Committee Begins Review of Form CRS Filings July 30, 2020
Proposed Amendment to 13F – What This Really Means? July 14, 2020
SEC Issues New Cyber Risk Alert to Financial Firms July 13, 2020
UPDATE: CTFC Issues No-action Letters for Temporary Relief in Response to COVID-19 Pandemic July 3, 2020
LIBOR No More: SEC Focuses on LIBOR Transition Preparedness July 1, 2020
Private Fund Risk Alert: Here is How Some Fared in Their Examinations; Will You Have the Same Deficiencies? June 25, 2020
Keep Your Eye on the Prize June 25, 2020
FINRA Enhanced Security Features for Super Account Administrators (SAAs) and Account Administrators (AAs) June 24, 2020
CCPA Enforcement Begins July 1, 2020 – Violators Already Being Pursued June 24, 2020
Global Short Selling Restrictions in a COVID-19 Economy June 3, 2020
Shareholder Disclosure: Low Notification Thresholds in Europe June 2, 2020
Don’t Forget the Disclosure Obligation May 29, 2020
CME Group to Wind Down European and Australian Repositories May 28, 2020
Private Fund Enforcement Order on Custody Rule Violations May 27, 2020
Shareholder Disclosure: Long Holdings in Europe May 27, 2020
RegTech Radar: Foreign Investment Developments May 20, 2020
New York Rule Modernization Proposal May 12, 2020
A Familiar Theme in Unfamiliar Times April 30, 2020
Eventually, We Have to Go Back – BCP Post-Mortem April 23, 2020
Coming of Age – The SEC Proposes Modernized Fund Valuation Practices April 22, 2020
ESMA Proposes Major Changes to EMIR April 20, 2020
New SEC Risk Alerts April 7, 2020
COVID-19 and Compliance – Mitigation Efforts Will Have Compliance Consequences the SEC Soon Will Examine April 3, 2020
Where Are Your Cybersecurity Blindspots with COVID-19? April 2, 2020
SEC Grants Section 17a No-Action Relief to Open-End Funds March 30, 2020
Guidance for State-Registered Advisers Dealing with COVID-19 March 27, 2020
SEC Extends Form ADV & Form PF Relief, Modifies Conditions March 26, 2020
OCIE Now Conducting Exams Off-Site Unless Necessary March 24, 2020
CTFC Issues No-Action Letters for Temporary Relief in Response to COVID-19 Pandemic March 23, 2020
SEC Offers Additional Relief for Advisers Impacted by Coronavirus March 19, 2020
SFTR Phase 1 Delayed Three Months as ESMA Responds to Industry Requests March 19, 2020
Pandemic Puts Business Continuity Planning to the Test; Regulators Take Notice March 13, 2020
SEC Continues Scrutiny of Private Fund Cross Trades March 10, 2020
Several States Coordinating Regulation Best Interest Pre-Implementation Exam Survey February 27, 2020
As Form CRS Compliance Date Nears, Approaches to Meet Challenge Coming Into Focus February 12, 2020
Key Takeaways from 2020 OCIE Exam Priorities January 31, 2020
Pathway to Reg BI Compliance: Have You Started Your Conflict of Interest Assessment? January 29, 2020
SEC Releases More Cyber Best Practices, Including Surprise Additions January 28, 2020
Takeaways from FINRA’s Examination Priorities 2020 January 25, 2020
10 Compliance Tips for Starting 2020 Off on the Right Foot January 23, 2020
Compliance Lessons Learned in 2019 January 17, 2020
CSS Launches First Form CRS Software Tool In Market January 8, 2020
FINRA Announces Revamped Examination and Risk Monitoring Program December 19, 2019
Tobias Degsell to Discuss ‘The Art of Data’ at CSS 2020 Regulatory Compliance Forum December 19, 2019
CSS & aosphere Collaboration Takes Global Threshold Management to the Next Level December 18, 2019
Countdown to CCPA: Are You Ready to Comply with New Data Privacy Requirements? December 9, 2019
ESMA Updates AIFMD Q&A on Reporting to National Competent Authorities December 5, 2019
CSS Named to RegTech 100 List of World’s Most Innovative RegTech Companies November 26, 2019
Proposed Amendments to Transaction Cost Calculations under PRIIPs November 19, 2019
Introducing the Regulatory Book of Record (RBOR) November 13, 2019
SEC Sets Clear Expectations Regarding Registered Investment Companies’ Compliance Programs November 12, 2019
SEC Proposes Amendments to Advertising Rules November 5, 2019
Roadmap to Conducting Annual Compliance Reviews November 5, 2019
Technology Advances Here and On the Way for Form CRS November 1, 2019
How to Become a Compliance Influencer October 23, 2019
Tips From the Field to Enhance Your Compliance and Supervisory Programs October 22, 2019
As SFTR Deadline Looms, Time to Take Control of Your Data October 18, 2019
Data Quality the Key to Meeting Challenge and Opportunity of Cost Transparency October 17, 2019
Tips to Prevent an SEC OCIE Investment Adviser Exam from Going Bad October 15, 2019
Giving Voice to Values: A New Approach to Ethics October 14, 2019
Tips for Developing a Tailored Private Fund Compliance Calendar October 11, 2019
Brexit: Implications for Shareholders with Threshold Interests October 8, 2019
Can We Say That Now? Predictions on Marketing and Advertising Amendments October 7, 2019
Recent Privacy Law Changes for Advisers a Focus of Cyber Discussion in Scottsdale October 3, 2019
Running Toward the RegTech Revolution October 2, 2019
Virginia Investment Adviser Rules Amended – September 16, 2019 Compliance Date September 30, 2019
Updates to the Massachusetts Investment Adviser Disclosure Rule September 23, 2019
Improving Mutual Funds’ Principal Risks Disclosure September 19, 2019
CFTC Orders Firm to Pay $1.5 Million in Connection with Phishing Cyber Breach, Cites Inadequate Cyber Training September 13, 2019
Cayman Islands Data Protection Law Nears Taking Effect September 12, 2019
SEC Risk Alert Puts Spotlight on Principal Trading, Agency Cross Trades September 9, 2019
SEC Issues Guidance to Investment Advisers on Proxy Voting September 6, 2019
Regulation Best Interest: Understanding the Obligations September 4, 2019
Cannabis Cash & Federal Taxes – A Proprietary Process September 2, 2019
Short-Termism, the EU Shareholder Rights Directive, and Their Relevance to Shareholder Disclosure August 27, 2019
Effective Compliance Policies & Procedures and Annual Reviews: Meeting the Reasonably Designed Standards August 20, 2019
7 Reasons to Attend Our Scottsdale Fall 2019 Compliance Conference August 7, 2019
Refocusing on Position Limit Monitoring & Substantial Shareholding July 31, 2019
Serious Security Flaw Discovered in Three Widely Used VPNs – Update Now! July 25, 2019
The Challenges of Compliance for State-Registered Advisers July 22, 2019
How Can a Small Advisory Practice Economically Be as Cyber-Secure as Possible? July 9, 2019
Will We See Liquidity Risk Management Programs in Europe Soon? July 8, 2019
How an LPA’s Definition of Organizational Expenses Can Connect to a Custody Rule Violation July 2, 2019
Early Impressions on Regulation Best Interest, Form CRS June 25, 2019
Creativity vs. Compliance: When Marketing Just Doesn’t Seem to Get It June 6, 2019
SEC Adopts Regulation Best Interest, Form CRS; Also Issues Interpretive Releases on IA Fiduciary Duty and Solely Incidental Exception June 5, 2019
Reorganization of FINRA’s Examination Program Taking Shape May 30, 2019
SEC Begins Cyber Sweep of Investment Advisers with Focus on Cloud Storage May 24, 2019
What Happens When Your CRM is Breached? May 24, 2019
Even When SEC Rulemaking Slows, Your Compliance Manual Shouldn’t Stagnate May 10, 2019
Life Cycle Guidance for Service Provider Due Diligence May 9, 2019
Takeaways and Tips Related to SEC Risk Alert on Regulation S-P May 8, 2019
Refreshing the Annual Review Process to Address Business and Regulatory Risks May 7, 2019
Suggestions on Global Threshold Monitoring May 2, 2019
AIMA Forum Takeaways: Technology, Innovation and Change May 1, 2019
How to Be a Wildly Effective Compliance Officer April 30, 2019
Mitigating the Risk of Insider Trading April 29, 2019
Compliance 2.0 – Being a Strategic Partner in Your Firm April 25, 2019
Big Data Part III: Preparing for the Future of Global Regulatory Governance April 23, 2019
Custody Concerns Continue April 11, 2019
Blockchain Isn’t Hot Sauce April 5, 2019
ESMA Updates AIFMD Q&As April 3, 2019
Regulation Best Interest, Cybersecurity Top Concerns at IAA 2019 Compliance Conference March 15, 2019
Cybersecurity Drives SEC to Modify Timing of Form N-PORT Filings February 28, 2019
Why Attend Ascendant CSS Compliance Conferences? So Many Reasons February 22, 2019
Shareholder Monitoring and Disclosures: Keeping One Step Ahead of the Front Office February 22, 2019
The Challenges of Building a Global Compliance Program February 20, 2019
Coming to America – California Adopts GDPR-Like Privacy Regulation February 11, 2019
An Overview of MMFR – Article 37 Reporting Requirements February 8, 2019
SEC Reopened After 35-Day Government Shutdown January 28, 2019
FINRA Rolls Out New Central Registration Depository Functionality; Annual Verification Deadline Nears January 25, 2019
Report on Operation of AIFMD Highlights Existing Issues January 16, 2019
SEC’s Latest Risk Alert Focuses on Electronic Communications January 7, 2019
SEC OCIE Issues 2019 Examination Priorities December 21, 2018
CSS Shortlisted for Two HFM US Hedge Fund Technology Awards December 19, 2018
European Commission Approves Draft Technical Standard for SFTR December 13, 2018
A New View of How Technology Will Change the Emerging Crytpo-Economy December 4, 2018
SEC Retail Investor Focus Turns Towards Registered Investment Companies November 12, 2018
SEC Alerts Investment Advisers to Review Solicitor Arrangements November 9, 2018
Pennsylvania Sounds Warning Bell Over Client Credentials and Custody November 1, 2018
San Diego 2018 Conference Gallery October 22, 2018
Advertising Issues: SEC and GIPS Performance in the Private Fund Space October 18, 2018
From Wall Street to Main Street: Update on Standard of Conduct for Investment Advisers October 17, 2018
Placing Ethics and Compliance in the Foreground of Business Decision-Making October 16, 2018
What Am I Looking At? Making Sense of Your Cyber Testing Reports October 15, 2018
It Takes a Village – Preparing for a Regulatory Exam October 12, 2018
The ‘Next Frontier’ in Investment Advice October 11, 2018
Lessons Learned: Wargaming Your Incident Response Plan October 10, 2018
Marketing and Advertising Dos and Don’ts in a Digital World October 9, 2018
Race to the Top – States Push to Broaden Breach Reporting Requirements October 8, 2018
Why an Integrated Approach to RegTech is Key October 1, 2018
10 Rules for Marketing Alternative Funds September 20, 2018
Data Breach Prevention and Response September 7, 2018
The Regulatory Road, Part II: The Path Less Traveled August 31, 2018
The Regulatory Road, Part 1: Strategic vs. Tactical August 29, 2018
When Policies, Procedures and Testing Protocols Aren’t Enough… August 28, 2018
How Do You Supervise for SEC Pay-to-Play Violations? July 27, 2018
Upcoming ComplianceCast™: The Compliance Professionals Guide to Effective Trade Desk Monitoring July 27, 2018
Hamilton Lane Announces Successful Form ADV Filing Through Consensus July 25, 2018
VIDEO: Introducing Compliance Solutions Strategies July 24, 2018
CSS Solution Silverfinch Welcomes TISA & PIMFA MiFID II Initiative July 19, 2018
Do Your Fund Documents Clearly Disclose Receipt of Accelerated Monitoring Fees? July 13, 2018
With New Risk Alert, SEC Doubles Down on Best Execution July 12, 2018
California Privacy Law Brings ‘GDPR-Lite’ to the U.S. July 3, 2018
CSS CRO Jeanette Turner on Bloomberg Markets June 27, 2018
SEC Deficiency Letters Require Swift Action June 26, 2018
Past Conference Speaker Inspiration for The Rock’s Next Blockbuster June 19, 2018
Relief at Last – New Guidance on Inadvertent Custody June 15, 2018
Advisers Beware: FBI “Operation WireWire” Shows Firms Increasingly Being Targeted Using SEC Filings June 14, 2018
Deputy Attorney General Rod Rosenstein Discusses Compliance Program Effectiveness June 1, 2018
Cayman Islands Updates AML Regulations for Private Equity May 21, 2018
SEC Creates Bogus ICO Site to Teach About Cryptocurrency Fraud May 18, 2018
Get Ready for Form ADV, Part 3: Form CRS May 15, 2018
For Cryptocurrency and Blockchain, a Reckoning is Coming May 9, 2018
Code of Ethics: SEC Focus Shifts Radar to Retail Firms May 7, 2018
Ascendant’s Melanie Mendoza Authors Due Diligence Journal Article May 3, 2018
Evolution of Fiduciary Rules Begins to Take Shape in SEC April 20, 2018
2018’s Chief Compliance Officer April 17, 2018
Cyber Threat – Why the Best Defenders are Often the Worst Responders April 13, 2018
Compliance Office 2.0 – The Roles They Are a Changing… April 10, 2018
Fifth Circuit Weighs In on DOL Fiduciary Rule March 22, 2018
SEC Proposes Amending Investment Company Liquidity Disclosures in Forms N-PORT and N-1A March 21, 2018
Paradigm Shift in SEC Exams, Benefits of a Mock Exam March 12, 2018
Why Should a Big Hedge Fund Use a Compliance Consultant? March 2, 2018
OCIE Examined 15% of RIAs in 2017 February 15, 2018
CSS’ Advise Unit Honored at 2018 HFM US Hedge Fund Technology Awards February 15, 2018
Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls February 14, 2018
SEC’s Exam Priorities Offer Insight Into National Exam Program February 14, 2018
SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules February 13, 2018
2018 SEC Exam Priorities: What You Need to Know February 9, 2018
The Problem with Buying Off-the-Shelf: It May Not Fit! February 7, 2018
U.S. Advisers Getting Serious About Fast-Approaching GDPR Deadline February 1, 2018
Ascendant Shortlisted for Two Global Compliance Awards January 31, 2018
Tech Transforms Compliance Role in 2017 January 5, 2018
SEC Delays Form N-PORT Submission Requirements December 20, 2017
MiFID II and PRIIPs Data Quality-Priority #1 December 18, 2017
Transparency Spreads to FINRA Exam Findings December 14, 2017
Cherish Your Regulatory Data December 13, 2017
Cyber Crimes – Don’t Forget to File that SAR! December 8, 2017
DOL Rule Extension to Overlap with SEC Consideration of Fiduciary Standards November 30, 2017
Schedule 13D/13F Clarity on ETF Issues November 20, 2017
What Should Fund COOs Worry About? November 19, 2017
New Remedy Coming for SEC’s Custody Rule? November 14, 2017
SEC Issues MiFID II No-Action Relief November 3, 2017
Regulatory Changes Impacting RICs and Service Providers November 2, 2017
Regulation Can Be Scary…But Is a RegTech Solution a Trick or Treat? October 31, 2017
Publicly Available Information Heightens Need for Cybersecurity Vigilance October 30, 2017
Best Practice Tips for the Use of Expert Networks in Investment Research October 27, 2017
Ascendant’s Jackie Hallihan Honored at NSCP 30th Anniversary Celebration October 23, 2017
Ascendant Compliance Conference Takeaways: 10 Tools of Behavioral Ethics October 23, 2017
Firms Encouraged Not to Overlook Oct. 1 Books and Records Changes October 18, 2017
If It’s New It’s Worrying; If It’s News It’s Really Worrying October 14, 2017
The SEC Data Breach And Impact On New Reporting Rules October 4, 2017
SEC Offers Regulatory Relief to Advisers Affected by Hurricanes October 3, 2017
SEC Discloses Cybersecurity Breach That May Have Led to Insider Trading September 25, 2017
CSS Consensus Partners with Bloomberg for SEC 22e-4 Reporting September 7, 2017
Ascendant’s Jason Morton to Speak on RegTech at Strata Data Conference August 28, 2017
Hurricane Season: How Does your BCM Program Stack Up? August 25, 2017
Surprise, Surprise: SEC Conducting Unannounced Exams August 25, 2017
DOL Fiduciary Rule Transition Period Extension to 2019 Requested August 10, 2017
SEC Cyber Sweep Highlights Areas In Need of Improvement August 8, 2017
Colorado Joins New York in Mandating Cybersecurity Controls for Financial Institutions August 1, 2017
Electronic Messaging Exams: Looking Beyond Emails July 17, 2017
Form ADV Help: ComplianceCast, Toolkit July 13, 2017
FinTech, Briefly Frozen by DOL Rule, Is Hot Again July 7, 2017
The Perils of ‘End-to-End’ Solutions to SEC Reporting Modernization That Don’t Go From End-to-End July 6, 2017
How Private Fund Advisers Should Assess the New DOL Rule June 30, 2017
Supreme Court Ruling Curbs SEC Disgorgement Power June 6, 2017
ComplianceCast: Advice on Managing Due Diligence May 31, 2017
DOL Fiduciary Rule Update May 26, 2017
Countdown to Ruin: Hacked Data Goes Public in As Little as Nine Minutes May 26, 2017
After ‘WannaCry,’ Everything Is Coming Up Cyber May 18, 2017
ComplianceCast: Advertising & Marketing Compliance May 9, 2017
Jay Clayton Sworn in as SEC Chairman May 8, 2017
Past Ascendant Keynote Speaker Jeff Glasbrenner Featured as SI Cover Story May 5, 2017
Implementing 2017 SEC Custody Guidance: A Panel Discussion April 10, 2017
Operating Holding Companies and Transient Investment Company Status Clarified March 31, 2017
Upcoming ComplianceCast Focuses on Recent SEC Custody Guidance March 16, 2017
ComplianceCast Goes In-Depth on BCP & Transition Planning March 10, 2017
Acting SEC Chair Signals Interest in Revising Accredited Investor Threshold February 28, 2017
NIST Proposes Update to Cybersecurity Framework to Address Service Provider Oversight February 22, 2017
Compliance Points for Insider Trading, MNPI February 15, 2017
Overview of 2017 SEC, FINRA Regulatory Priorities February 6, 2017
Ascendant Joins Compliance Solutions Strategies as Anchor Firm February 1, 2017
SEC Examined 11% of Advisers in 2016 January 30, 2017
Cybersecurity & 2017 SEC Exam Priorities January 26, 2017
New York DFS Cybersecurity Rules Take Effect March 1 January 19, 2017
SEC Releases 2017 Examination Priorities January 13, 2017
ComplianceCast Predicts 2017 Compliance Developments January 12, 2017
CCO Liability – Line in the Sand December 20, 2016
10 Reasons to Attend Ascendant’s San Diego Conference December 20, 2016
Planning for the Annual Review and Reporting December 20, 2016
BCP, ADV and other SEC Targets Discussed at NEBDIAA December 20, 2016
SEC Announces Record Year for Enforcement December 20, 2016
SEC Chair Mary Jo White Announces Departure as Regulatory Shift Begins December 20, 2016
Two-Thirds Expect Delay, Revisions to DOL Fiduciary Rule December 16, 2016
The Current State of Market Manipulation in Financial Markets December 6, 2016
Where, When and How to Make a Disciplinary Disclosure in Regulatory Filings November 29, 2016
SEC Chair Mary Jo White Announces Departure as Regulatory Shift Begins November 17, 2016
SEC Announces Record Year for Enforcement October 24, 2016
BCP, ADV and other SEC Targets Discussed at NEBDIAA September 27, 2016
Top 10 Reasons to Attend Ascendant’s San Diego Conference August 9, 2016
CCO Liability – Line in the Sand August 3, 2016
Zero-Day Post-Trade Analysis Won’t Stop the Front Runners July 21, 2016
Prepare for Business Continuity Planning Rule July 14, 2016
NFA CPOs/CTAs, Beware Late Filing Penalties June 24, 2016
SEC: Prioritizing Cybersecurity June 15, 2016
GIPS Compliance Form Deadline June 14, 2016
Need Help on Forms & Filings? June 10, 2016
Password Manager vs. Autofill June 2, 2016
Non-Governmental Adviser Exams Coming? May 31, 2016
Why Care About Ethics? May 31, 2016
Compliance Perfection Isn’t Realistic. Amen. May 25, 2016
So, What Happens to SARs? May 25, 2016
Observations on CCO Liability May 20, 2016
Encrypted? So What, Says Tennessee May 19, 2016
IAA Supports Bill to Relieve Adviser Burdens May 17, 2016
FINRA CRD System Alert May 16, 2016
Cybersecurity: Time’s Up! May 16, 2016

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July 9, 2021

Expanding Your Compliance Program: Robust Compliance Management in a Post-Pandemic Era

Compliance departments were no strangers to constraints during the pandemic. They were yet another area of the investment management industry that felt the effects of the pandemic, specifically with budget and…

July 1, 2021

UK Suggests More Pronounced Split From EU Financial Services Rules, Post-Brexit

Today the Chancellor of the Exchequer, Rishi Sunak, stated in a speech in London: “[O]ur ambition had been to reach…

July 1, 2021

Expanding Your Compliance Program – Code of Ethics Management

Are you tired of spending hours opening envelopes, stapling statements together, logging the receipt of statements in a spreadsheet, and…

June 29, 2021

Outsourced Compliance – Client Success

The alternative credit manager focuses on alternative credit strategies and has $5+ billion in assets under management. The experienced Chief…

June 29, 2021

Compliance Solutions Strategies Launches Pre-Trade Monitoring of Position Limits

First Intraday Compliance Capability for Order Building in Market NEW YORK, June 29, 2021 – Compliance Solutions Strategies (“CSS”), a…

June 24, 2021

ESMA Upcoming Milestones

Financial entities affected by EU law: Take note of ESMA’s handy summary of upcoming deadlines for submitting consultation feedback. Check…

June 24, 2021

SEC Adopts the Changes in the Technical Specifications of Form N-CEN

On Monday, June 21, 2021, SEC adopted the changes in the Technical Specifications of the form N-CEN. All changes are…

June 21, 2021

Problems with PRIIPs KIDs

On Thursday 17 June 2021, the Belgian regulator (FSMA) issued a feedback statement (here) to PRIIPs manufacturers and distributors in…

June 21, 2021

Let’s See All the Cards: Pre-Trade Monitoring and Position Limits

A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they…

June 17, 2021

Bitcoin Takeaways for Investment Advisers

We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather…

June 15, 2021

Expanding Your Compliance Program – Trade Surveillance

Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…

June 15, 2021

Pre-Trade for Position Limit Monitoring – Client Success

Position Limit Monitoring requires the regular sourcing of limits from exchanges and regulators to ensure that the most current limits…

Blog Archive

News, updates and analysis from around the world of compliance

Embracing Equity and the Power of Awareness, Representation, and Community

CSS’s top 5 most popular insights of 2022

New SEC Risk Alert Puts Investment Advisers’ Identity Theft Policies Under the Microscope

ESG: As COP27 highlights climate urgency, notions of “sustainability” fracture

ESG Strategy: Think Regulation, Data, and Budget

Navigating the SEC Marketing Rule: Keyways to Compliance

SEC Cyber Rule Generates Concern Among Industry Experts

ESG Update for Investment Firms: The Data Problem and E.U. Response

Charting a Path to SFDR Deadlines: Optimizing ESG and EET data collection, quality and reliability

Charting a Path to PRIIPS KID Deadlines: Four Months Left to Make Significant Data, Calculation and Filing Changes

Key Takeaways on the SEC’s Draft Strategic Plan for 2022 – 2026¹

The State of ESG Regulatory Reporting – and What it Means for Market Participants and Investors

New SEC Cybersecurity Rules Are Coming – The Time to Prepare is Now

Key ESG Strategy Considerations

Aesop, the SEC, and the $2.5 Million Regulation S-ID Lesson