Author: Compliance Solutions Strategies

We’re still digesting all the great takeaways from the recent AIMA Global Policy & Regulatory Forum 2019. The theme was…

It’s Friday afternoon, and you’re planning to leave early and get a jump start on your weekend. You receive an email with the subject “Office 365 – Failed Login Attempts – Password Reset Required Immediately!” You wonder who tried to access your account or whether you forgot to logout of your email on the public computer at the hotel business center.

Would you buy a car without taking it for a test drive? It seems obvious you would want to know the vehicle has all its parts, and that those components work together to make the vehicle operate properly.

Guest post by Samson Williams, Partner – Axes & Eggs and Keynote Speaker – Ascendant CSS Spring 2019 Conference  I…

In the runup to 1 January 2018, financial firms the world over rushed to select service providers for the various tools required to comply with PRIIPS and MiFID II.

Compliance programs face challenges in balancing global requirements with local exceptions while incorporating the fast pace of regulatory change, addressing…

We are proud to announce that Compliance Solutions Strategies has been shortlisted in two categories for the HFM US Hedge…

After several delays earlier this year, the European Commission has finally approved the draft technical standard (RTS) for SFTR. The…

Identifying the strategic need for the implementation of an integration hub for financial transactions, positions and securities.

Securities Financing Transactions Regulation (SFTR) requirements are expected to be adopted by the European Commission (EC) by Q1 2019. Prior to finalisation, the EC and the European Securities and Markets Authority (ESMA) must resolve some differences over the SFTR level 2 Regulatory Technical Standards (RTS), but no further material changes are expected.

Just a couple decades ago, our market infrastructure was dominated by only a handful of securities exchanges. Fast forward to the present day, and there are now 18 national securities exchanges registered with the Securities and Exchange Commission (SEC) under Section 6(a) of the Securities Exchange Act of 1934 (“Exchange Act”), 44 Alternative Trading Systems (ATS) and over 200 brokerdealers that internalize their customers’ trades.

If you were asked to describe a hacker, what image comes to mind? If you’re like most, you are probably picturing unintelligible text flying across a monitor as young men in black hoodies attempt to break into networks, engaging in a very technical dance and speaking in terms the average layperson would not understand.