A CSS RegTech podcast series on moving from a tactical to strategic approach to regulatory compliance.
The global regulatory space is complex and fragmented. Financial firms can address this problem through tactical responses to regulatory deadlines or think more strategically on how to optimize their compliance data, operations and technology. The Compliance Solutions Strategies weekly podcast features regulatory experts, former Chief Compliance Officers, industry partners and RegTech collaborators to help prepare buy-side and sell-side firms for changes on the regulatory horizon.
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In this episode, former CCOs and CSS’s compliance services experts in retail and institutional wealth manager services, Korrine Kohm and...
In dieser Folge setzt sich CSS-Direktor für Cyber-IT-Services, EJ Yerzak, mit AVP, Program Executive bei Varney Agency, zusammen ...
In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Regulatory Specialist Nicklas Nilsson to discuss the latest...
In this episode, CSS’s Co-Executive Directors of Compliance Services Keith Marks and Jackie Hallihan sit down to discuss actionable takeaways...
In this episode, CSS’s resident document production experts, Shane O’Sullivan and Charles Seigle-Goujon sit down to discuss how to prepare...
In this episode, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent...
In this episode, former Chief Compliance Officers Allison Fraser and Victoria Olson sit down to discuss a playbook for regulatory...
In this episode, former Chief Compliance Officers Korrine Kohm and Ariana Monchick discuss CCO liability, ways to avoid enforcement and...
In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss what the future of RegTech looks like...
In this episode, CSS’s Regulatory Guidance and ESG Specialist Marye Cherry sits down with Vanessa Barnett, Senior Vice President, Global...
In this episode, CSS’s Regulatory Content Manager Greg Hotaling sits down with Faye Sutherland, Head of Shareholding Disclosure of aosphere...
In this episode, CSS’s ESG experts Marye Cherry and Ronan Brennan talk about the latest developments with the EU Sustainable...
In this episode, CSS’s team of former Chief Compliance Officers Matt Calabro and Dan Haynes take a look at the...
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Regulatory Specialist Nicklas Nilsson for...
In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Client Officer Jac Dunne to take...
In this episode, CSS’s Executive Director Jackie Hallihan sits down with Senior Consultant Adam DiPaolo to read the tea leaves...
In this episode, CSS’s SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss a post-Brexit...
In this episode, SVP of Business Development at CSS Ashley Smith sits down with two insurance and Solvency II experts...
In this episode, CSS’s Chief Product Officer Ronan Brennan represents the EU and President of CSS John Lee represents the...
In this episode, Chief Product Officer of CSS Ronan Brennan joins Natalie Silverman to discuss all things Brexit in Part...
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak and Legal Director at ZwillGen Jason Wool talk about...
In this episode, CSS’s Chief Product Officer Ronan Brennan and Regulatory Guidance & ESG Specialist Marye Cherry talk about all...
In this episode, CSS’s team of former Chief Compliance Officers Dan Haynes and Ariana Monchick sit down to discuss the...
In this episode, CSS’s team of former Chief Compliance Officers Allison Fraser and Matt Calabro sit down to discuss why...
In dieser Folge setzen sich das CSS-Team der ehemaligen Chief Compliance Officers Korrine Kohm und Victoria Olson zusammen, um zu diskutieren, warum ...
In dieser Folge setzt sich CSS-Direktor für Cyber-IT-Services, EJ Yerzak, mit AVP, Program Executive bei Varney Agency, zusammen ...
In dieser speziellen Brexit-Episode setzt sich CSS-Produktchef Ronan Brennan mit der Behörde für globale Finanzdienstleistungen zusammen ...
In dieser Folge spricht EJ Yerzak, Director of Cyber IT Services bei CSS, mit dem Vorsitzenden der Datenschutz- und Cybersicherheitspraxis ...
In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Product Manager Brian DeDonato to talk about the...
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Detected CEO Liam Chennells to kick off...
In this episode, Chief Client Officer at CSS, Jac Dunne joins Natalie Silverman to discuss why more investment management firms...
In this episode, Managing Director in Accenture’s Risk Practice, Dr. Rafael Gomes joins Natalie Silverman to discuss Compliance-as-a-Service – an...
In this episode, Chief Product Officer of CSS, Ronan Brennan joins Natalie Silverman to discuss cross-border complexities from the transition...
In this episode, CSS’s Co-Executive Directors of Compliance Services, Keith Marks and Jackie Hallihan walk through a retrospective of Form...
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup and regulatory expert and Founder of Laurellis Associates,...
In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Product Officer Ronan Brennan to talk...
In this episode, the founder and CEO of COMBINER and previous curator at the Nobel Prize Museum Tobias Degsell joins...
In this episode, former Chief Compliance Officer and CSS’s Compliance Consultant Victoria Olson joins Natalie Silverman to discuss how CCOs...
In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Dan Haynes joins Natalie Silverman to discuss how a CCO can earn a seat at the executive table and ways compliance teams can partner with the business to win trust.
In this episode, former Chief Compliance Officer and CSS’s Director of Retail Wealth Manager Services Korrine Kohm joins Natalie Silverman...
In this episode, former CSS’s Director of Cyber IT Services E.J Yerzak joins Natalie Silverman to discuss everything from hackers and the dark web to how COVID-19 has reminded financial firms of the importance of cybersecurity and business continuity planning.
In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Ariana Monchick joins Natalie Silverman to talk about the...
In this episode, CSS’s Regulatory Compliance Expert Greg Hotaling sits down with Head of Shareholding Disclosure at aosphere LLP Faye Sutherland to discuss what's next on the regulatory horizon in the second half of 2020.
In this episode, former Chief Compliance Officer and CSS’s Director of Institutional Wealth Manager Services Matt Calabro joins Natalie Silverman...
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Head of Business Development at...
In this episode, former Chief Compliance Officer and CSS’s Director of RIC Services Allison Fraser joins Natalie Silverman to discuss...
In this episode, CSS’s Regulatory Content Manager Greg Hotaling and Product Manager Mike Marmo discuss the market disruption due to...
In this episode, CSS’s Regulatory Guidance Specialist Marye Cherry and Regulatory Content Manager Greg Hotaling discuss the complexities around sensitive...
In this episode, CSS’s President and Founder John Lee joins Natalie Silverman to discuss moving from a tactical to strategic...
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…
ESMA has recently suggested to national regulators across the EU that they de-prioritize enforcement of MiFID II position limits on…
Prepare Now for the SEC’s New Marketing Rule View the recent webinar: “Mastering the Marketing Rule” as a panel of…
In recent years, investor awareness regarding environmental, social and governance issues (“ESG”) has grown and investors increasingly look for investments…
Jurisdictions are creating privacy laws with competing interests of protecting consumer data without unnecessarily impeding companies’ ability to do business…
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 represents…
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,…
On March 5, 2021, the new Marketing Rule for SEC registered RIAs was published in the Federal Register. The effective date…
Compliance never sleeps, but Brexit, the EU SFDR and UCITS to PRIIPs do not have to keep you up at…
It’s almost mid-February, and we’ve come out of the January haze. Now we have a bit more information on where…