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......
The SEC has expanded its cybersecurity examinations to include testing of firms’ implementation of procedures and controls
The GIPS Compliance Form deadline is rapidly approaching…
Ascendant’s ongoing education series ComplianceCast returns on Thursday, June 16 at 2 pm ET with an episode focused on regulatory…
A password manager is a much better way to keep track of your passwords and ensure they are all secure and up to industry standard. Browser-saved password don’t offer a lot and can sometimes lead people into the pitfalls of poor password management.
The SEC plans to propose the rules establishing a program of third-party compliance assessment in April 2017
A 2013 speech by Stephen L. Cohen, Associate Director of Enforcement of the SEC, highlighted the importance of corporate compliance…
Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.
With investment advisers encouraged to begin filing suspicious activity reports (SARs) as soon as possible upon the issuance of the final anti-money…
CCOs are worried about CCO liability due to various concerns and confusions.
In a first for the country’s growing body of state breach notification laws, Tennessee has recently amended its law to…
The IAA has announced its public support of a bill that would provide relief from the “past specific recommendation” rule
The CRD system’s balance representation’s will now be much more intuitive.
