November 30, 2021
On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…
RegTech Tag
November 8, 2021
On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers…
October 27, 2021
For global investors, the accelerating pace of ESG regulatory developments portends a massive, additional layer of compliance obligations they will…
October 5, 2021
An advanced automation and workflow platform for the production and distribution of investor documents such as PRIIPs KID and SFDR…
September 29, 2021
Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…
September 17, 2021
The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021. On September…
September 10, 2021
Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT…
September 7, 2021
CSS awarded for its digital transformation technology and data analytics solutions which enable clients to move from tactical to strategic…
September 3, 2021
As the world prepares to address emerging COVID variants, there is another threat to people’s security: emerging ransomware variants. As…
August 16, 2021
On July 21, 2021, the SEC’s Division of Examinations released a Risk Alert addressing their observations from examinations of investment…
July 29, 2021
How are you getting paid? That is the question that the SEC is focused on in recent regulatory examinations of…
July 15, 2021
It’s déjà vu all over again for cybersecurity professionals around the world, many of whom are now scrambling to recover…