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......
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
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…
The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,…
In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…
The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…
The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many…
What’s worked Back in April 2021, when the SolarWinds hack was publicly disclosed, much of the world discovered just how…
A new Q&A on the PRIIPs KID has just been released from ESMA. View it here. Some key updates include:…
As a follow up to our Coffee & Regs Podcast episode found here, we wanted to advise RIA that the…
View the CSS on-demand webinar A Fireside Chat with Dan Kahl, the Acting Director of the SEC’s Division of Examinations, followed by a…
On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…
Important ESG news for EU market participants: The European Commission, by letter to the EU Parliament and Council, has delayed…
On 22 November 2021, ESMA published its Final Report on its draft RTS relating to commodity derivatives under the MiFID…
On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data…