CSS offers financial firms access to market-leading technology managed services and compliance services to build, implement and optimize parts of or your entire compliance program. Our team of regulatory experts helps fulfill compliance requirements or alleviate specific program challenges that help you increase operational efficiency, reduce total cost of ownership and mitigate risk.
CSS provides specialized regulatory expertise and customized, high-value services, from data management to regulatory filings, hosting services, infrastructure, security and technology. We walk the regulatory path with you and help you manage the end-to-end reporting process so you can refocus on your core business, quickly scale to meet client and market needs, lower total cost of ownership and mitigate risk.
Whether an SMB or global Tier 1 organization, broker-dealer, investment adviser or NFA member, financial firms need regulatory guidance and the tools to navigate compliance complexities. CSS’s team of regulatory experts, former Chief Compliance Officers and regulators, along with our compliance management and regulatory reporting tools, bridge the gap between regulations and business management to help compliance teams build and manage highly efficient, adaptable and scalable compliance programs.
Whether outsourcing the CCO role or e-communications and marketing reviews, or performing discrete compliance management tasks, preparing for a regulatory exam, conducting an annual review or a comprehensive cybersecurity assessment, CSS can optimize your current compliance program and processes and help you meet your future state objectives.
CSS’s Compliance Services experts, many of whom are former Chief Compliance Officers themselves, have walked in your shoes and understand the challenges you face – from wearing multiple hats to managing risk, and very often having to do more with less.
We can parachute in expertise to fulfill the CCO role or provide support to relieve you of more tactical compliance tasks and functions. CSS is here to help and guide your firm on everything from performing risk assessments, annual reviews and mock exams, preparing regulatory filings, conducting code of ethics management or e-communications surveillance and marketing reviews, to cybersecurity gap analyses, or advise and direct on a range of regulatory initiatives, like the upcoming changes to the Marketing Rule.
All registered broker-dealers, investment advisers, investment companies, and NFA members are subject to regulatory examination of their compliance programs and compliance with SEC, FINRA, and CFTC regulations. It’s not a matter of if, but when – and CSS specializes in helping firms prepare with thorough analysis of all trading, communications, operations, and policies and procedures. CSS can help firms achieve full readiness for any review and implement a strategy to reduce or eliminate risk of potential business disruption as a result of an examination, from lack of preparation to enforcement for non-compliance.
CSS walks hand-in-hand with your organization to develop and implement a robust evaluation and review framework for your firm. Whether meeting your firm’s annual compliance program review requirements, performing an ad hoc policy-specific review, or outlining risks and matching controls in a risk framework, CSS’s compliance experts seek efficiency and effectiveness. Our reviews conclude with accurate reports helping to mitigate risks and elevating your program from tactical to strategic compliance.
We work with your team to:
We can help you navigate every step of the complex processes and requirements with the SEC, FINRA, and NFA/CFTC, as well as individual states. For FINRA registrations, we cover all business models, including placement agents, capital acquisition brokers or CABs, and full-service broker-dealers. As your business grows, CSS is there to help you scale, whether adding new financial professionals or services to managing an enterprise.
CSS helps firms understand cybersecurity risks from regulatory, business and operational perspectives. From implementing and maintaining cyber and business continuity policies and procedures to performing testing, conducting security awareness training or assessing or building a full cyber program, CSS’s cybersecurity experts will design or adapt your program based on your firm’s needs and stage of growth.
CSS developed the market’s first comprehensive, fully customizable Web-based software tool to create your Form CRS, which investment advisers and broker-dealers were required to file with the SEC or FINRA by June 30, 2020.
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.