Brexit – A Free Trade Deal, Yet the Saga Continues
The UK and EU have finally agreed to terms on Brexit that will likely lead to ratification of an historically......
CSS publishes a range of complimentary thought leadership content, RegTech resources and compliance commentary and analysis to help financial firms better understand and proactively react to changes in regulatory compliance around the world. This includes our proprietary industry research, exclusive insights and ComplianceCasts™ webinars.
Our Latest Blog Articles
Insights to give you regulatory agility to help you better understand the complex compliance landscape.
January 4, 2021
December 22, 2020SEC Adopts Changes to Marketing and Cash Solicitation Rule Frameworks
In late 2022, SEC registered investment advisers will be required to comply with new marketing and client solicitation rule-making, adopted......
December 2, 2020CSS Hosts OCIE Director Pete Driscoll for a Virtual Fireside Chat
SEC’s Office of Compliance Inspections and Examinations Cites Inadequate Compliance Programs On December 1, 2020, CSS hosted a discussion with......
November 30, 2020The Moving Target of ESG Regulation in the EU
ESG – the integration of environmental, social and governance considerations into the investment process – has claimed center stage in......
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Our weekly RegTech podcast features regulatory experts, former Chief Compliance Officers, industry partners and RegTech collaborators to help you prepare for changes on the regulatory horizon.
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January 11, 2021From Financials to Fish, What’s Next for Post-Brexit Equivalence?
In this episode, CSS’s SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss a post-Brexit...
December 21, 2020Solvency II Review and What’s Next for Insurers?
In this episode, SVP of Business Development at CSS Ashley Smith sits down with two insurance and Solvency II experts...
December 14, 2020Brexit Part 2: Post-Brexit in the Fund Industry
In this episode, CSS’s Chief Product Officer Ronan Brennan represents the EU and President of CSS John Lee represents the...
December 7, 2020Brexit Part 1: The Advantages & Implications of Divergence
In this episode, Chief Product Officer of CSS Ronan Brennan joins Natalie Silverman to discuss all things Brexit in Part...
ComplianceCasts™
Bringing world-class regulatory compliance webinars to the investment management community
Listen to expert discussions, roundtables and fireside chats on some of the most important and fast-emerging topics in regulatory compliance.
Our ComplianceCasts feature insights and analysis from current and former Chief Compliance Officers, regulatory guidance experts and compliance industry partners and collaborators from around the world.
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Recent Webinars On-Demand
Events
Join CSS for in-depth learning on the evolving regulatory compliance landscape
We are exploring new venues and channels to bring the very best conference experience and learning to compliance professionals around the world. In the meantime, stay on top of what’s happening in regulatory compliance in real-time by subscribing to our podcast and blog or watching our upcoming live or on-demand ComplianceCasts.
Upcoming Webinars:
2021 Compliance Outlook Webinar on January 26, 2021 at 11 am EST
Past Events:
Regulations
Expertise, commentary and analysis on current and emerging regulations to help you stay ahead of regulatory change
Fund Reporting
- Filings: Form PF, AIFMD, CPO-PQR, Form ADV, Form 13F, MMFR, Form N-PORT/N-CEN
- Templates: PRIIPs (EPT/CEPT), MiFID II (EMT), Solvency II (TPT) and German regulations (VAG, GroMiKV, CRR/Solva)
- Cost calculation: PRIIPs, MiFID II, DCPT / FCA COBS 19.8, CTI / ICT, J402 & RG97
- Documents: UCITS KIID, PRIIPs KID, Prospectuses, Factsheets & ESG
Investment Monitoring
- Shareholding Disclosure
- Position Limits
- Sensitive Industries
Transaction Reporting
- MiFID II / MiFIR Art. 26 Transaction Reporting
- MiFID II Position Limits Art. 58
- EMIR
- SFTR
- MMSR
Compliance Management
- Investment Advisers Act of 1940, as amended
- Investment Company Act of 1940, as amended
- Commodity Exchange Act of 1936, as amended
- Securities Exchange Act of 1934, as amended
- GDPR
- CCPA
- NYDFRS
Regulatory Guidance
A team of regulatory experts that manage CSS’s regulatory radar, scanning the horizon for regulatory change that will impact our clients
CSS’s in-house team of Regulatory Guidance experts know how to anticipate change and take a proactive approach to compliance. This team of experts is made up of former Chief Compliance Officers, regulators, regulatory attorneys, regulatory specialists and technical and data analysts, and have built our platform with the industry’s challenges in mind and help bridge the gap between the regulations and practical application.
CSS’s Regulatory Guidance experts:
- Contribute market-leading thought leadership and content to support our clients’ understanding of how regulation is being adopted in the market
- Provide practical support to clients when taking data from source systems to regulatory form
- Help clients work through undefined aspects of the regulations
- Offer guidance on interpretation of rules and insights into the industry’s approach
- Remain in touch with the regulator community to be one step ahead of regulatory change
Need Deeper Insights & Guidance?
Take the first step on your global regulatory compliance journey. A CSS regulatory expert will be in contact with you within the next business day.