janvier 4, 2021
The UK and EU have finally agreed to terms on Brexit that will likely lead to ratification of an historically…
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décembre 22, 2020
In late 2022, SEC registered investment advisers will be required to comply with new marketing and client solicitation rule-making, adopted…
décembre 2, 2020
SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with…
novembre 30, 2020
ESG – the integration of environmental, social and governance considerations into the investment process – has claimed center stage in…
novembre 20, 2020
XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and…
novembre 20, 2020
A global Tier 1 asset manager decided to take a more holistic approach to their regulatory reporting by moving from…
novembre 20, 2020
CSS was selected as the strategic partner to help a global Tier 1 investment manager move from a tactical to…
novembre 18, 2020
Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment…
30 octobre 2020
It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also…
12 octobre 2020
In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed…
12 octobre 2020
Cybersecurity is a fast-moving target, so it is not uncommon for firms to have questions when it comes to assessing…
12 octobre 2020
This is the second installment of Regulatory Guidance Expert Greg Hotaling’s blog on position limits, this time addressing EU-listed commodity…