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....
Identity theft is on the rise, and the U.S. Securities and Exchange Commission has taken notice of weaknesses in registered investment advisers’ controls....
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......
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...
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 ...
Author: E.J. Yerzak, Director, Cyber IT Services, CSS, a Confluence company The dust has barely settled on the U.S. Securities......
“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...
By Shane Flatman, Senior Product Manager – Compliance, Reporting, and Services, CSS, A Confluence Company The Sustainable Finance Disclosure Regulation (SFDR)......
Author: Shane Flatman, Senior Product Manager Compliance, Reporting and Services. Conversations with investment firms, management companies, fund administrators and industry attorneys have ramped up......
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public comment on......
Regulatory frameworks are quickly emerging to standardize the reporting and disclosure of ESG metrics across as many as 140 jurisdictions around......
Cyber risk for financial firms is about to get a lot more regulated. Announcing its most recent Regulatory Flex Agenda......
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....
By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)......
The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate sustainability risks into their investment management and......
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Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s…
Global RegTech provider Compliance Solutions Strategies (CSS) today announces its release of Form CRS Automator, the market’s first comprehensive and fully…
FINRA has consolidated its three examination programs into a single program, a process that started in October 2018. As part…
For years, Tobias Degsell served as a curator and museum educator at the Nobel Prize Museum, an institution renowned for…
London, 18 December 2019 – Global RegTech provider Compliance Solutions Strategies (CSS) is pleased to announce its collaboration with aosphere…
Staying informed and responding to changes in shareholding disclosure obligations across multiple jurisdictions is a formidable challenge facing global investment…
With less than one month before the California Consumer Privacy Act (CCPA) is effective, companies are preparing to update their…
The European Securities and Markets Authority (ESMA) has updated its Questions and Answers on the Alternative Investment Fund Managers Directive (AIFMD). One new…
NEW YORK – Compliance Solutions Strategies (CSS) is proud to announce its inclusion in the RegTech 100 for 2020, a…
In a much-anticipated move, the Securities and Exchange Commission (the “Commission” or the “SEC”) recently voted to propose amendments to…
In this ComplianceCast webinar, co-executive directors of CSS compliance services Jackie Hallihan and Keith Marks address the challenges of Form…
The European Supervisory Authorities (ESAs) recently issued a consultation paper that includes two draft proposals for changes to transaction cost…