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.

RegTech Radar: Foreign Investment Developments

The following RegTech Radar update focuses on recent changes in Japan’s Foreign Exchange and Foreign Trade Act (FEFTA) and additional foreign investment changes in New Zealand, France and Germany from end-April to mid-May. For any additional queries regarding substantial shareholding, position limit monitoring and sensitive industries, please contact us at info@cssregtech.com. New Japan Foreign Investment … Continued

New York Rule Modernization Proposal

We have learned of a potentially major change for New York state and federally covered investment advisers. The New York Department of Law is proposing to revise and modernize the rules within Title 13 NYCRR Part 11 to achieve a coordination of registration and notice filing requirements with other states. If the rule change proposal … Continued

A Familiar Theme in Unfamiliar Times

Recently, the SEC settled with a private equity adviser for failing to adequately disclose and obtain consent for conflicts of interest associated with portfolio compensation. The Administrative Order reminds us of familiar tenets to regulatory disclosure, and perhaps this familiarity is reassuring to us in these unfamiliar, pandemic times. However familiar the theme, this case … Continued