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......
The SEC has made several COVID-19 related announcements this week pertaining to investment managers that offer relief from routine regulatory…
The capacity of financial firms to comply with the upcoming go-live of SFTR reporting obligations has been critically compromised by…
The rapid expansion of the novel coronavirus and the COVID-19 pandemic has caused extreme stress if not panic throughout the…
The SEC continues to scrutinize principal and cross-trade transactions in the private fund world. Are such trades illegal? No. In…
While the SEC moved full force in adopting Regulation Best Interest and Form CRS, state regulators were fairly silent on…
Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS,…
On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated…
As the June 30, 2020 compliance date for the SEC’s Regulation Best Interest (“Reg BI”) draws near, broker-dealers are scrambling…
In advance of National Data Privacy Day today, the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE)…
The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on…
No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning….
New York, 8 January 2020 – Global RegTech provider Compliance Solutions Strategies (CSS) today announces its release of Form CRS…
