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......
The alternative credit manager focuses on alternative credit strategies and has $5+ billion in assets under management. The experienced Chief......
Position Limit Monitoring requires the regular sourcing of limits from exchanges and regulators to ensure that the most current limits......
The Securities and Exchange Commission (SEC) published a report on Cybersecurity and Resiliency Observations and several risk alerts in which......
XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and......
A global Tier 1 asset manager decided to take a more holistic approach to their regulatory reporting by moving from......
CSS was selected as the strategic partner to help a global Tier 1 investment manager move from a tactical to......
‘WannaCry’ is a wide-reaching ransomware attack that led to a May 17, 2017 SEC Risk Alert. Ascendant offers advice on how to battle ransomware in today’s environment.
Have questions on Advertising and Marketing Compliance? Ascendant’s Samantha Addonizio and Peter Guarino take a look at The Rules, Hot Topics…
Jay Clayton has taken over the reins of the SEC after being sworn in as the 32nd Chair of the…
During our San Diego 2016 conference, we featured Jeff Glasbrenner, a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. This week, we’re thrilled to see Jeff on the cover of Sports Illustrated!
In early 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) and FINRA released their annual examination priority letters,…
Implementing 2017 SEC Custody Guidance: Analysis, Practical Implications, Next Steps
Operating Holding Companies and Transient Investment Company Status Clarified by SEC in Guidance Update
On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.
The BCP and transition planning rule–SEC Rule 206(4)-4–has major implications for both compliance and operations. ComplianceCast covers the proposed rule requirements, concerns and impacts.
In recent remarks by Acting SEC Chair Michael S. Piwowar, he signaled his interest in revising the accredited investor threshold in an effort to level access to higher risk, higher return investments.
NIST has proposed an update to its Cybersecurity Framework to address service provider oversight
The news headlines continue to be filled with insider trading scandals. Now is a great time to provide employees with additional training on what constitutes insider trading and the potential repercussions of acting on such information.
