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......
On October 8, 2020 the SEC published updated FAQs regarding the disciplinary question in Form CRS. In an unusual step,…
On July 21, 2020, The New York State Department of Financial Services (NYDFS) filed its first charges under its Cybersecurity…
Every once in a while, I think it’s important to get back to the basics. Since the adoption of the…
BME to offer financial services firms in Spain and Portugal a multi-regulation reporting platform Partnership brings a unique combination of…
Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading…
What makes one firm – and the various professionals who represent it – live and breathe by the book, while…
On August 26, 2020, the Securities and Exchange Commission amended Rule 501(a) of the Securities Act of 1933, expanding the…
Throughout my career, I’ve never heard a business leader say compliance isn’t important. Time and again, through countless conversations and…
Being a Chief Compliance Officer navigating regulatory change is a lot like quarterbacking an offense in an action-packed (American) football…
The COVID-19 pandemic and related shutdown of global economies will be remembered as one of the most significant shocks to…
As a compliance professional, the past months have probably been the most challenging of your career. Events, whether COVID-19, significant…
How prepared was your firm for the disruption of COVID-19 pandemic? Did your firm’s business continuity plan cover a pandemic?…
