Solutions

Best-in-class software and services, driven by innovative technology and field expertise.

Why CSS?

  • In an environment of decreasing margin driven by fee pressure and increasing regulatory compliance costs, the investment management industry needs to adopt a strategic approach
  • Compliance Solutions Strategies (CSS) is a global RegTech platform delivering a comprehensive suite of best-in-class solutions and services that speak to this strategic need
  • CSS is backed by CIP Capital, a specialist private equity firm focused on growth equity
  • Due diligence carried out on 200+ global solution providers to identify best-of-breed firms for each element of the CSS platform
  • CSS leadership team and advisory board with proven track record successfully building platforms in the asset management space
  • Platform executive teams add decades of experience in regulatory reporting, data management and compliance

Regulatory Reporting

Consensus: Regulatory reporting and filing platform

  • Manage multiple forms and filings from a single platform
  • Strategic use of data via unified platform data model
  • Automated validations and compliance checks
  • Compare filings, manage workflows, and check approvals
  • Electronic timely submission of regulatory forms directly to regulator
  • Best practice team of regulatory attorneys and CFAs underpin the solution
  • Global coverage of the key investment advisor, mutual fund and private fund filings

Read more about Consensus

Regulatory Data Management

Accudelta: Regulatory Data Management

  • Identifying, sourcing, and enriching data
  • Combines workflow, rules and notification engine to ensure timely, complete, and accurate data
  • Full transparency and audit trail
  • Applicable to other business uses

Read more about Accudelta

Silverfinch: Regulatory Data Exchange

  • Secure data sharing for regulatory purposes
  • MiFID II, PRIIPs, Solvency II, GroMiKV, VAG

Read more about Silverfinch

Compliance Services

Ascendant

  • Independent Consultation for SEC Enforcement Proceedings
  • SEC Registration
  • Risk Assessment, Annual Reviews, and 206(4)-7 and 38a-1 Service
  • Mock SEC Exam Services
  • FINRA + Broker-Dealer Services
  • IT Risk Assessment / Cyber / GDPR
  • Continuing Education & Training
  • Policies & Procedures

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Compliance Technology Solutions

  • Compliance Program Manager
  • Policy & Procedures Management
  • Organizational Communication & Workflow
  • Compliance & Risk Testing
  • Reporting
  • Risk Management
  • Marketing & Advertising Review
  • Compliance & Risk Testing
  • Branch & Multi-Office Management
  • Employee & Adviser Management

Read more about ACM

Trade Monitoring & Analysis

Trade Compliance Analyzer

  • Post-trade compliance and data analytics platform
  • Detect, prioritize, and mitigate operational and compliance risks derived from trading activities

Signal

  • Position limit monitoring
  • Substantial shareholder warnings and disclosure
  • Covering 89 jurisdictions and numerous exchanges

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Trade & Transaction Reporting

  • Reporting across a range of regulatory directives targeting market transparency
  • MiFID I / MiFID II, EMIR, REMIT, FINFRAG, SFTR, Bank of Israel

Read more about Shuttle