Time to Use the Bat Phone: Who to Call When a Compliance Officer Needs Help?
It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also......
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.
October 30, 2020
October 12, 2020Texas Outlaws and a Silver Bullet: Position Limits in the USA
In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed......
October 12, 2020FAQs From the Cyber Desk
Cybersecurity is a fast-moving target, so it is not uncommon for firms to have questions when it comes to assessing......
October 12, 2020EU Position Limits: Born in the USA?
This is the second installment of Regulatory Guidance Expert Greg Hotaling’s blog on position limits, this time addressing EU-listed commodity......
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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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November 16, 2020The Next Generation of Compliance
In this episode, CSS’s team of former Chief Compliance Officers Dan Haynes and Ariana Monchick sit down to discuss the...
November 9, 2020Risk Alert: Service Provider Due Diligence
In this episode, CSS’s team of former Chief Compliance Officers Allison Fraser and Matt Calabro sit down to discuss why...
November 2, 2020Who Ya Gonna Call When a Compliance Officer Needs Help?
In this episode, CSS’s team of former Chief Compliance Officers Korrine Kohm and Victoria Olson sit down to discuss why...
October 26, 2020The COVID Coverage Financial Firms Need: A Cyber Insurance Policy
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency...
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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Events
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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 on-demand ComplianceCasts.
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
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