It’s settled – the cart goes before the horse…for PRIIPs KID
The investment fund industry is eagerly awaiting the result of a new vote in EIOPA on Level 2 changes for......
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.
February 3, 2021
January 29, 2021The Short Selling Saga: Market Volatility & Compliance
The Big Short. Or Long. Whatever your strategy, the drama currently being played out between hedge funds and retail investors —......
January 25, 2021New York State Mandatory Registration for Investment Adviser Representatives
First, a bit of background: On December 2, 2020 the New York State Department of Law adopted new regulations, to......
January 4, 2021Brexit – 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......
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.
Subscribe
Subscribe to Coffee & Regs on the platforms below.
February 1, 2021Transaction Reporting Reflections & Readiness for EMIR REFIT & MiFIR
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Regulatory Specialist Nicklas Nilsson for...
January 25, 2021Regulatory Reporting Complexities & Case Studies
In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Client Officer Jac Dunne to take...
January 18, 2021Crystal Ball Gazing for Compliance & the SEC in 2021
In this episode, CSS’s Executive Director Jackie Hallihan sits down with Senior Consultant Adam DiPaolo to read the tea leaves...
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...
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.
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:
Future-Proofing Fund Reporting on February 25, 2021 at 10:00 am EST/ 3:00 pm GMT
Past Events:
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.