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.

Takeaways from FINRA’s Examination Priorities 2020

The much-anticipated release of the Financial Industry Regulatory Authority, Inc. (“FINRA”) 2020 Risk Monitoring and Examination Priorities Letter occurred on January 9, 2020. Why is this annual release so important to broker-dealers? In short, it serves as a roadmap to identify compliance and supervisory topics that will underpin FINRA’s examination program as 2020 unfolds. After … Continued

10 Compliance Tips for Starting 2020 Off on the Right Foot

No rest for the weary. With the new year upon us, our attention turns to new budgets, change and planning. With renewed energy as we roll into January thaw, we worry if our compliance program is ready. To give you a leg up, here are 10 tips for investment adviser and broker-dealer compliance teams for … Continued

Compliance Lessons Learned in 2019

Now that we are in mid-January, a few things are evident. We have likely broken one or more New Year’s resolutions, the effect of any rest over the holidays has worn off and we need to complete our annual compliance reviews for 2019 and firm up our 2020 plans. While I don’t have solid advice … Continued