The standard in regulatory compliance

CSS is a global RegTech platform delivering a set of comprehensive and highly complementary technology-enabled regulatory solutions that serve compliance professionals across the financial services industry

Regulatory Reporting
Manage multiple forms and filings from a single platform that includes automated validations and compliance checks.

Regulatory Data Management
Leverage our solutions to identify, source, and enrich data, as well as to securely share data for regulatory purposes.

Trade Monitoring & Analysis
Ensure compliance with post-trade, position limit, substantial shareholding thresholds, and other market transparency requirements.

Compliance Services
Access technology-driven compliance expertise to solve the toughest regulatory challenges.

CFTC Orders Firm to Pay $1.5 Million in Connection with Phishing Cyber Breach, Cites Inadequate Cyber Training

The Commodity Futures Trading Commission (CFTC) isn’t holding back when it comes to holding firms accountable for protecting their client’s funds and information. On September 12, 2019, the CFTC issued an order bringing proceedings against a registrant to the tune of $1.5 million US relating to claims that the registrant violated Commission Regulations 166.3 and … Continued

Cayman Islands Data Protection Law Nears Taking Effect

Cybersecurity regulations have landed ashore on the islands, and life is about to become anything but a beach for firms forced to comply with the Cayman Islands’ new Data Protection Law (DPL), slated to take effect September 30, 2019. With provisions largely mirroring the EU’s General Data Protection Regulation (GDPR), entities with a presence or … Continued

SEC Risk Alert Puts Spotlight on Principal Trading, Agency Cross Trades

On September 4, 2019, the U.S. Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE) issued another risk alert, this time on “Investment Adviser Principal and Agency Cross Trading Compliance Issues.” While not wildly informative, the Risk Alert summarizes several issues identified during examinations of the last three years and reminds us of … Continued