Compliance Tag

Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. To registered…

Investment strategies focusing on certain environmental or social themes have been around for a long time. Historically, these strategies were…

An advanced automation and workflow platform for the production and distribution of investor documents such as PRIIPs KID and SFDR…

Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…

The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021.  On September…

CSS awarded for its digital transformation technology and data analytics solutions which enable clients to move from tactical to strategic…

How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…

This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…

CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…

It’s almost mid-February, and we’ve come out of the January haze. Now we have a bit more information on where…

We understand that COVID-19 has brought many stresses, both personal and professional.  To many private fund advisers, this may seem…

Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…