You may unsubscribe at anytime with our simple “unsubscribe” link at the bottom of each communication. Please see our privacy notices below for further information, including a list of affiliates covered by this consent.
Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of…
In a proposal that would mark the first changes since 1961, the SEC has introduced amendments to modify the “Advertisements…
The “annual” in annual review is a misnomer! That was one of the key takeaways from a session conducted at…
CSS featured a strong presence at the recent 2019 BAM + Loring Ward Advisor National Conference in St. Louis, Mo….
Long gone are the days when compliance was grudgingly accepted as a necessary optic to largely allay the regulators and…
At the recent CSS Fall 2019 Conference, experienced professionals Jeff Blumberg of Faegre Baker Daniels and John Gentile of CSS…
Looming regulatory deadlines – such as the impending roll-out of Europe’s Securities Financing Transactions Regulation (SFTR) – are rarely welcomed…
Technology has done much to increase cost transparency in recent years, yielding considerable power – and savings – to consumers….
Strategies to employ when an SEC OCIE adviser exam goes bad drew a great crowd at the recent CSS Ascendant…
The “Giving Voice to Values” program grew out of Professor Mary Gentile’s frustration of what was going on in both…
As regulatory concerns proliferate and become more complex, developing and monitoring your “to-do” list becomes of paramount importance. John Gentile,…
As yet another deadline approaches for the United Kingdom to either leave the European Union with a withdrawal agreement in…
