SEC Reminds Advisers About ESG Practices
In recent years, investor awareness regarding environmental, social and governance issues (“ESG”) has grown and investors increasingly look for in...
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
April 26, 2021
April 20, 2021Virginia Joins Growing List of Jurisdictions Regulating Data Privacy. What’s Next?
Jurisdictions are creating privacy laws with competing interests of protecting consumer data without unnecessarily impeding companies’ ability t...
April 15, 2021MiFIR Final Report Analysis
On 30 March 2021, ESMA published the final report on the back of the consultation paper from 24 September regarding......
April 6, 2021Public Pension Fund Independent Compliance Reviews
Many state and local government pension funds use third-party investment advisers to manage assets within their pension plans. Pension fund......
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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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April 26, 2021Managing Cyber Insurance Risk
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency...
April 19, 2021ESMA Updates, MiFIR & Transaction Reporting Trends
In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Regulatory Specialist Nicklas Nilsson to discuss the latest...
April 12, 2021Mastering the Marketing Rule
In this episode, CSS’s Co-Executive Directors of Compliance Services Keith Marks and Jackie Hallihan sit down to discuss actionable takeaways...
April 5, 2021Preparing Now for a PRIIPs KID Project Plan
In this episode, CSS’s resident document production experts, Shane O’Sullivan and Charles Seigle-Goujon sit down to discuss how to prepare...
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:
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.