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The Pennsylvania Department of Banking and Securities (PDOBS) has indicated in recent guidance two concerns related to investment advisers using…

Ascendant/CSS San Diego Conference Another compliance conference is in the books. We had a great time in San Diego, and…

Over a year ago, OCIE released the Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations…

Retail investors are confused! They fundamentally cannot differentiate between a broker-dealer and an investment adviser. And that has the SEC…

Thinking about how to make ethics and compliance part of a business’s decision-making can prove to be challenging. By nature,…

It’s no surprise that Compliance and IT do not speak the same language. Compliance staff often speak in terms of…

Advanced planning for a regulatory exam remains a vital step in ensuring the compliance team is prepared when the exam…

We live in a world filled with dramatic change on a scale we’ve never seen before. The speed and magnitude…

Data breaches and cyber incidents made headlines again recently with the announcement that 50 million Facebook accounts were compromised as…

When it comes to advertising, processes, procedures, and disclosure matter. Not everyone in a firm will understand the importance of…

Facebook just reported a massive data breach impacting over 50 million user accounts. And while most investment advisers are not…

At CSS, creating a strategic approach to regulatory obligations is in our DNA. It’s the very reason the company was…