RegTech Tag

On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…

On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers…

For global investors, the accelerating pace of ESG regulatory developments portends a massive, additional layer of compliance obligations they will…

An advanced automation and workflow platform for the production and distribution of investor documents such as PRIIPs KID and SFDR…

Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…

The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021.  On September…

Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT…

CSS awarded for its digital transformation technology and data analytics solutions which enable clients to move from tactical to strategic…

As the world prepares to address emerging COVID variants, there is another threat to people’s security: emerging ransomware variants. As…

On July 21, 2021, the SEC’s Division of Examinations released a Risk Alert addressing their observations from examinations of investment…

How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…

It’s déjà vu all over again for cybersecurity professionals around the world, many of whom are now scrambling to recover…