Compliance Solutions Strategies (CSS) is now part of Confluence

Access Thought Leadership Resources & Expert Insights to Stay Ahead of Regulatory Change

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.

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Blog

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Podcast

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ComplianceCasts™

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Events

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Regulatory Guidance

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CSS RegTech Radar

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Regulations

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Videos

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Our Latest Blog Articles

Insights to give you regulatory agility to help you better understand the complex compliance landscape

Blog Archive

Videos

Compliance Solutions Strategies resource videos

Unpacking the Cybersecurity Rules and Impacts

Laura Grossman
Associate General Counsel at Investment Adviser Association (IAA)

Adan Araujo
Chief Compliance Officer at Jasper Ridge Partners

Desiree Moore
Partner at K&L Gates

It's Not Too Early! Get Prepared Now for EMIR Refit

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 Events:

2023 Investment Management Conference
March 19 - 22
Palm Desert, CA
Confluence is proud to sponsor this year's ICI Investment Management Conference on March 19-22 in Palm Desert, CA.
IMC is the premier opportunity to engage with colleagues and hear directly from regulators and other experts about the issues facing asset managers today.
Find out more
Irish Funds Annual Global Funds Conference 2023
18 May
The Dublin Royal Convention
Confluence is proud to sponsor the 2023 Irish Funds Annual Global Funds Conference on 18 May in Dublin.
This year's conference will focus on the core themes of Trust, Capability and Innovation, three fundamental pillars on which the funds industry in Ireland has been built.
The agenda will include thought-provoking and informative presentations, keynote talks and panel discussions from internationally respected industry experts, while a full day of networking opportunities will run alongside the agenda in the exhibition area.
Find out more
PRIIPs Transition: Learnings and Takeaways
May 24, 2023
Webinar
With the PRIIPs KID transition complete and the industry looking forward, we should take some time to reflect on the move from UCITS KIID to PRIIPs KID overall.
Find out more
TradePMR Synergy
May 31 - June 2
Tampa, FL
CSS is proud to sponsor the TradePMR Synergy 2023 from May 31-June 2 in Tampa, Florida.
TradePMR Synergy brings the industry together to help advisors accelerate growth, accelerate success, accelerate into tomorrow.
Find out more
WEBINAR: Fireside Chat with Natasha Vij Greiner and Peter B Driscoll
6 June
Webinar
Fireside Chat with Natasha Vij Greiner, Deputy Director and National Associate Director for the Investment Adviser/Investment Company Examination Program, SEC Division of Exams and Peter B Driscoll, Partner, PC
Find out more
Confluence Global Shareholder Disclosure Forum
6 June
The Montcalm Royal London House
Join the Confluence team, along with industry experts, for an afternoon filled with content from the best in the business! You'll gain insights into the latest and upcoming shareholder disclosure developments worldwide.
Find out more
IMpower Incorporating FundForum
27 - 28 June
The Grimaldi Forum, Monaco
Confluence is proud to sponsor the #1 investment management event in the world.

Exchange ideas, inspiration and actionable solutions for your customer-growth strategy across next-gen distribution, operating models and investment solutions.

Meet our top executives, Mark Evans, Chief Executive Officer and Founder and Todd Moyer, President and Chief Operating Officer. Come visit us in the IMPower Media Lounge, sponsored by Confluence.
Find out more

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

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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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Subscribe to Coffee & Regs on the platforms below.

    Podcast Library

    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.

    Subscribe today and receive our latest industry updates and articles.

    You may unsubscribe at anytime with our simple “unsubscribe” link at the bottom of each communication. Please see our privacy notices below for further information, including a list of affiliates covered by this consent.