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......
We don’t know when, but at some point we will have to put on shoes, get a haircut and return…
It has been 50 years since the SEC last addressed valuation practices for funds registered under the Investment Company Act…
On March 27, ESMA published a consultation on changes to the technical standards of trade reporting under the EMIR Refit…
The SEC today issued Risk Alerts identifying areas related to Form CRS and Regulation BI on which examiners will focus…
We understand that COVID-19 has brought many stresses, both personal and professional. To many private fund advisers, this may seem…
Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce…
The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry…
In addition to the SEC providing relief and support to investment advisers, the North American Securities Administrators’ Association (NASAA) and…
On March 25, 2020, the SEC issued a new Order extending and relaxing some of the conditions pertaining to the…
CHICAGO, March 24, 2020 — Envestnet, Inc. (NYSE: ENV) has entered into a strategic partnership with Compliance Solutions Strategies (CSS) to offer a comprehensive,…
On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in…
During the last week, the CFTC issued several no-action letters aimed at providing temporary relief from certain recordkeeping, operations requirements,…
