SEC Proposes Modernization to Process for Applications
On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data......
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
November 19, 2021
November 12, 2021SEC Chair Gensler Puts Private Fund Advisers in the Spotlight
In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give......
November 8, 2021Compensating Advisers: Compliance Updates from the Department of Labor
On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers......
October 27, 2021Around the World in 10 Days: ESG Regulatory Developments
For global investors, the accelerating pace of ESG regulatory developments portends a massive, additional layer of compliance obligations they will......
How Do You Like Your Regs in the Morning?
Subscribe to CSS’s weekly Coffee & Regs podcast
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 22, 2021Special Episode with the Deputy Commissioner, Securities Division of the Vermont Dept. of Financial Regulation
In this special episode, CSS’s Director of Retail Wealth Manager Services Korrine Kohm and William R. Carrigan, Deputy Commissioner, Securities...
November 15, 2021PRIIPs Delay, But Not Implementation Delays
In this episode, CSS’s SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss the latest on...
November 8, 2021CCOs & ESG – Preparing Now for What’s Next
In this episode, CSS’s team of CCOs Matt Calabro and Victoria Olson discuss how CCOs can prepare now for what’s...
November 1, 2021Cybersecurity Training, Talent and Diversity
In this episode, Founder and CEO at CyberVista, Simone Petrella and CSS’s Director of Cyber IT Services, E.J. Yerzak discuss...
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.
Sign up for upcoming live sessions or watch on-demand.
Recent Webinars On-Demand
November 3, 2021Preparing for PRIIPS in 2022
View the on-demand webinar “Preparing for PRIIPs in 2022” for actionable takeaways on: The latest news on the RTS UK/EU divergence Data......
- October 6, 2021
ESG Experts’ Circle: Mythbusting SFDR & Beyond
A CSS Webinar on Mythbusting the Evolving ESG Landscape View the CSS webinar “ESG Experts’ Circle: Mythbusting SFDR & Beyond”......
- September 16, 2021
For CCOs, By CCOs: Regulatory Exam Insights
View the recent “For CCOs, By CCOs” webinar on “Regulatory Exam Insights” for actionable takeaways on: Exam Priorities – Compensation arrangements,......
- June 9, 2021
For CCOs, By CCOs – Expanding your Compliance Program
A CSS Webinar on How to Optimize Your Compliance Program Heading a compliance program, often with limited time and resources and a......
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.
Regulations
Expertise, commentary and analysis on current and emerging regulations to help you stay ahead of regulatory change
Fund Reporting
- AIFMD Annex IV (Alternative Investment Fund Managers Directive)
- CPO-PQR
- CSSF UCITS Risk Report (U1.1)
- DCPT (Defined Contributions Pensions Template)
- Factsheets
- Form 13F
- Form 13H
- Form ADV
- Form N-CEN
- Form N-LIQUID
- Form N-MFP
- Form N-PORT
- Form PF
- FVPT (Fair Value Mid Price Template)
- GroMiKV
- IDWG (Institutional Data Working Group) Template
- J402 (Dutch Pension – Cost Reporting)
- LGPS (Local Government Pension Scheme) Template
- MiFID II: Costs and Charges
- MiFID II: EMT/EFT (Product Governance / Target Market) – inc. Transaction Cost Calculation
- MiFID II: TCA (Transaction Cost Analysis)
- MMFR Article 37
- NFA (National Futures Association) Annual Report
- OPERA / Open Protocol
- PRIIPs EPT/CEPT – including Tranaction Cost Calculation
- PRIIPs KID
- Prospectuses
- RG97 (Australian Superannuaction – cost calculation)
- Solvency II (TPT / SCR)
- TFC-1
- TFC-2
- TFC-3
- TIC Form BC
- TIC Form BL-1
- TIC Form BL-2
- TIC Form BQ-1
- TIC Form BQ-2
- TIC Form BQ-3
- TIC Form CQ-1
- TIC Form CQ-2
- TIC Form S
- TIC Form SHC/SHCA
- TIC Form SHL/SHLA
- TIC Form SLT
- UCITS KIID
- VAG
Compliance Services
- California Consumer Privacy Act (CCPA)
- Commodity Exchange Act; Commodity Futures (NFA) CFTA
- Compliance Program Development and Annual Compliance Program Reviews: IC Act Rule 38a-1
- CPO-PQR
- Data Classification
- ERISA (Employee Retirement Income Security Act)
- FBAR (Report of Foreign Bank and Financial Accounts)
- Form 13D
- Form 13F
- Form 13G
- Form 13H
- Form ADV
- Form BD, Form BR
- Form N-PORT
- Form PF
- Form U4/U5 Filings
- GDPR (General Data Protection Regulation) – attestations only
- IA and B-D Registration with FINRA/SEC/States
- IC Act Section 17: Prohibited Transactions
- KYC / AML (Know Your Customer / Anti-Money Laundering
- Massachusetts Privacy Regulations (Encryption)
- MSRB Rules
- National Institute of Standards and Technology (NIST) Framework
- NYDFS Cybersecurity Regulation
- Regulation Best Interest (Reg BI)
- State IA, BD, and PF Regulations: 50 States (privacy issues, regulations, senior client policies, etc.)
- Supervisory Rules: Business Practices
- Supervisory System Compliance Program Development and Annual Supervisory System Control Review: FINRA Rules 3110 and 3120
- U.S. Marketing Regulations: Rule 206(4)-1 of IA Act and FINRA Rule 2210
- US Treasury Dept AML Reviews
- Fair Valuation Rule 2(a)(41) of IC Act
Transaction Reporting
- EMIR
- EMIR-UK
- MiFID II: MiFIR (Art. 26)
- MiFID II: Position Limits (Art. 58)
- MiFIR-UK MiFID Art 26 (UK)
- MoneyMarket Statistical Reporting (MMSR)
- SFTR (Securities Financing Transaction Regulation)
- SFTR-UK
Compliance Management
- Best Execution: TCA (Transaction Cost Analysis)
- Books and Records: Rule 204-2 of IA Act; Securities Exchange Act 17a-3 and 17a-4
- Branch Office Reviews
- Code-of-Ethics (Rule 204A-1)/ Personal Account Dealing / Conflicts of Interest / Gifts & Entertainment
- Compliance Program Development and Annual Compliance Program Reviews: IA Act Rule 206(4)-7
- Custody: Rule 206(4)-2 of IA Act
- Due Diligence Reviews (e.g., sub-advisers, vendors, firm acquisitions)
- Form CRS
- Insider Trading: Section 204 of IA Act; Section 15(f) of Securities Exhange Act
- Investment Advisors Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940
- Market Abuse – general (not specifically EU MAR)
- Principal/Agency Cross/Cross Transactions: IA Act Section 206(3) and Rule 206(3)-2
- Rule 204A-1
- Fair and Equitable Trading
- Portfolio Pumping/Window Dressing/Volume Analysis
- Short-Term Trading/Trade Error Detection
Investment Monitoring
- EU Short Selling Regulation
- EU Transparency Directive
- Form 13D
- Form 13F
- Form 13G
- Form 13H
- Insider Restrictions
- Issuer Limits
- Mandatory Tender Offer
- MAR 0.5% Monitoring (Market Abuse Regulation)
- Position Limits
- Sensitive Industries
- Shareholding Disclosure
- SRD II
- Takeover Panels
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.