ComplianceCasts ™

On 13 June 2022, we hosted a panel discussion with industry leaders, moderated by Shane Flatman, Senior Product Manager, Confluence…

New cybersecurity rules are on the horizon for investment advisers and investment companies. SEC Chair Gary Gensler has hit the…

View the CSS on-demand webinar A Fireside Chat with Dan Kahl, the Acting Director of the SEC’s Division of Examinations, followed by a…

View the on-demand webinar “Preparing for PRIIPs in 2022” for actionable takeaways on: The latest news on the RTS UK/EU divergence Data…

A CSS Webinar on Mythbusting the Evolving ESG Landscape View the CSS webinar “ESG Experts’ Circle: Mythbusting SFDR & Beyond”…

View the recent “For CCOs, By CCOs” webinar on “Regulatory Exam Insights” for actionable takeaways on:  Exam Priorities – Compensation arrangements,…

A CSS Webinar on How to Optimize Your Compliance Program  Heading a compliance program, often with limited time and resources and a…

Prepare Now for the SEC’s New Marketing Rule View the recent webinar: “Mastering the Marketing Rule” as a panel of…

Compliance never sleeps, but Brexit, the EU SFDR and UCITS to PRIIPs do not have to keep you up at…

CSS’s team of current and former Chief Compliance Officers discuss the practical and proactive actions to take to ensure your…

Investing in real estate has its own challenges and nuances. Among those is a decision many real estate fund managers…

A Guide to the Registration Process and the Continuing Obligations of Registered Investment Advisers Thinking of becoming an independent registered…