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......
Financial entities affected by EU law: Take note of ESMA’s handy summary of upcoming deadlines for submitting consultation feedback. Check…
On Monday, June 21, 2021, SEC adopted the changes in the Technical Specifications of the form N-CEN. All changes are…
On Thursday 17 June 2021, the Belgian regulator (FSMA) issued a feedback statement (here) to PRIIPs manufacturers and distributors in…
A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they…
We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather…
Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…
Position Limit Monitoring requires the regular sourcing of limits from exchanges and regulators to ensure that the most current limits…
The Colorado Legislature recently strengthened personal data privacy rights with the passing of the Colorado Privacy Act (Bill SB21-190), becoming…
The SEC has proposed a busy regulatory agenda. Among the topics listed are: ESG (proposal stage) Cybersecurity risk disclosure (proposal…
Gartner predicts that by 2023, 65% of the global population will be covered by privacy regulations and by 2024, over…
This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
