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 ...
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 managemen...
ESG investing is still evolving and will continue to do so for years to come. As part of that evolution, ESG frameworks are emerging to standardize th...
Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirem...
Download our latest whitepaper to learn about key challenges of PRIIPs KID, best practices and end-to-end capabilities needed to meet the requirements...
With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a......
The CFTC recently issued a Request for Information, asking the public how the CFTC should consider climate risk in its......
On May 25th the SEC proposed an ESG disclosure framework for investment advisers and funds, examined in detail below. With......
The Bitcoin 2022 Conference, held in South Beach April 6-9, was very well attended with upwards of 25,000 attendees, a......
The “Technoking and Chief Executive Officer of Tesla”, who on March 14th surpassed a 5% ownership threshold in the social media ...
Recent rulemaking developments at the SEC indicate that, if 2021 was a year in which it revealed its intentions about......
Large Corporates and Financial Firms Face a New Breed of ESG Regulation under the EU’s Corporate Sustainability Due Diligence Directive......
During its examinations of advisers and funds, the Securities and Exchange Commission has observed a lack of cyber preparedness, determining......
The SEC twice reminded 27 RIAs and BDs to meet Form CRS requirements before starting enforcement actions. The firms have…
On July 20, 2021, the FCA published Consultation Paper CP21/23 to collate industry view points on proposed amendments to the…
Of course, if you are reading this blog post, you likely are not the type of person to sell or…
ESMA has launched a consultation paper on RTS 1 and RTS 2 on MiFIR transparency requirements. The consultation paper covers…
ESMA released an updated version of Q&A on the Application of the AIFMD (europa.eu). There are 2 new items included,…
CSS was selected as a partner to help solve a client’s global fund reporting challenges. The asset manager had built…
As part of the asset manager’s initiative to review its target operating model and its strategic supplier landscape, CSS was…
CSS was selected as a long-term strategic partner to help solve a client’s global fund reporting challenges. The Tier 1…
Chair Gensler has been beating a drum signaling that changes to the U.S. transparency regimes are likely. In prepared remarks…
It’s déjà vu all over again for cybersecurity professionals around the world, many of whom are now scrambling to recover…
The SEC announced that Peter Driscoll, the Director of the Division of Examinations, will leave the SEC on August 14,…
Launches Integration of Market Data Services to Investment Monitoring Platform NEW YORK, July 14, 2021 – Compliance Solutions Strategies (“CSS”),…