October 7, 2019
Can we say that now? That’s what attendees at the recent CSS Compliance Conference in Scottsdale, Arizona wanted to find…
CSS Videos
Coffee & Regs TV - What's Next for Compliance in 2022
Coffee & Regs TV - Investment Monitoring Rewind & 2022 Preview
PRIIPs Predictions in 2022
Coffee & Regs TV - What's Next for Cybersecurity in 2022
Coffee and Regs TV - Shareholding Disclosure Rules for Managed Holdings
Coffee & Regs TV - The Latest on the PRIIPs Delay
Coffee & Regs TV - Insights into SEC Examinations
Coffee & Regs TV - Digital Assets_ Trading & Compliance for Cryptocurrency
SEC Insights on ESG
Coffee & Regs TV – What's Next for the EU SFDR Level 2
Coffee & Regs TV - The PRIIPs RTS
Coffee & Regs TV - ESG FAQs Part 2
Coffee & Regs TV - ESG FAQs Part 1
ESG
Regulatory Templates
Regulatory Book of Record (RBOR)
Regulatory Reporting
Document Production & Distribution
Coffee & Regs TV - USA Position Limits - Too Many Options
Coffee & Regs TV - Coal, Steel, ESMA and You - An EU Law Primer
Coffee & Regs TV - The Future of Data Privacy Regulations
Coffee & Regs TV - The Mood of Compliance
Coffee & Regs TV - What's Next for Cybersecurity in 2022
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October 3, 2019
Regulators and legislators certainly have been busy in 2019, leaving little breathing room for financial firms. More data privacy laws…
October 2, 2019
I like to get to conferences early when I can. It lets me absorb the local environment, which often informs…
September 30, 2019
Last week we discussed the changes to the Massachusetts IA Disclosure Rule. That is not the only state legislature that…
September 23, 2019
The states continue to be busy with new rule-making! On June 14, 2019 the Massachusetts Securities Division (the ‘Division’) adopted…
September 19, 2019
The Securities and Exchange Commission (SEC) has for years stressed that registrants’ disclosure in regulatory filings needs to be written…
September 13, 2019
The Commodity Futures Trading Commission (CFTC) isn’t holding back when it comes to holding firms accountable for protecting their client’s…
September 12, 2019
Cybersecurity regulations have landed ashore on the islands, and life is about to become anything but a beach for firms…
September 9, 2019
On September 4, 2019, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued another risk…
September 6, 2019
At its August 21, 2019 Open Meeting, the Securities and Exchange Commission (“SEC”) voted 3-2 to issue guidance to assist…
September 4, 2019
We have been conducting roundtables and talking to industry leaders to help them identify the challenges that broker-dealers will face…
September 2, 2019
In order to pay federal taxes, many licensed, regulated, cannabis companies have to launder their cash. Why? Because banks will…