November 12, 2019
Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of…
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November 5, 2019
In a proposal that would mark the first changes since 1961, the SEC has introduced amendments to modify the “Advertisements…
November 5, 2019
The “annual” in annual review is a misnomer! That was one of the key takeaways from a session conducted at…
November 1, 2019
CSS featured a strong presence at the recent 2019 BAM + Loring Ward Advisor National Conference in St. Louis, Mo….
October 23, 2019
Long gone are the days when compliance was grudgingly accepted as a necessary optic to largely allay the regulators and…
October 22, 2019
At the recent CSS Fall 2019 Conference, experienced professionals Jeff Blumberg of Faegre Baker Daniels and John Gentile of CSS…
October 18, 2019
Looming regulatory deadlines – such as the impending roll-out of Europe’s Securities Financing Transactions Regulation (SFTR) – are rarely welcomed…
October 17, 2019
Technology has done much to increase cost transparency in recent years, yielding considerable power – and savings – to consumers….
October 15, 2019
Strategies to employ when an SEC OCIE adviser exam goes bad drew a great crowd at the recent CSS Ascendant…
October 14, 2019
The “Giving Voice to Values” program grew out of Professor Mary Gentile’s frustration of what was going on in both…
October 11, 2019
As regulatory concerns proliferate and become more complex, developing and monitoring your “to-do” list becomes of paramount importance. John Gentile,…
October 8, 2019
As yet another deadline approaches for the United Kingdom to either leave the European Union with a withdrawal agreement in…