Case Studies

Watch the Fireside Chat with Pete Driscoll, the Director of the SEC’s Office of Compliance Inspections (OCIE), followed by a…

CSS’s Regulatory Guidance experts discuss the latest global developments and how to take a more proactive and strategic approach to…

Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading…

It’s almost mid-February, and we’ve come out of the January haze. Now we have a bit more information on where…

The ESAs (the trinity of the ECB, EIOPA & ESMA) relented to pressure from the EU Commission to submit the…

The investment fund industry is eagerly awaiting the result of a new vote in EIOPA on Level 2 changes for…

The Big Short. Or Long.  Whatever your strategy, the drama currently being played out between hedge funds and retail investors —…

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

First, a bit of background: On December 2, 2020 the New York State Department of Law adopted new regulations, to…

2021 marks the second consecutive year CSS has been awarded for itsinnovative regulatory compliance technology and services NEW YORK, January…

The UK and EU have finally agreed to terms on Brexit that will likely lead to ratification of an historically…

In late 2022, SEC registered investment advisers will be required to comply with new marketing and client solicitation rule-making, adopted…

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…

The topics of business continuity and succession planning became even more important for RIAs in 2020. This webinar discusses the…