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“Getting Practical with Cyber, Part III: Updating Your Cyber Policies to Align with Recent SEC Exams” – Sept. 5, 2 pm ET

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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.

Effective Compliance Policies & Procedures and Annual Reviews: Meeting the Reasonably Designed Standards

Sometimes it seems that enough is never really enough. While compliance officers have grown intimately familiar with SEC Rule 206(4)-7 over the past 15 years since the Rule became effective, deficiencies in connection with the Compliance Program Rule continue to rank among the most frequently cited issues identified in OCIE examinations of investment advisers. It … Continued

Form CRS and Its Impact on State-Registered Advisers

While many investment advisers are starting to plan for Form CRS/Form ADV Part 3, one group of investment advisers can breathe a sigh of relief that this is a project that does not need to be on their ‘To Do’ list. As of now, no state regulator has adopted this disclosure document for state-registered advisers. … Continued

Effective Compliance Policies & Procedures and Annual Reviews: Meeting the Reasonably Designed Standards

Investment Advisers must perform an annual evaluation of the effectiveness of their compliance program. This starts with ensuring, maintaining and implementing reasonably designed policies and procedures. This ComplianceCast webinar covers the recent regulatory changes that may trigger a need to reevaluate your present policies. Who Conducts and How to Conduct the Annual Review Planning and … Continued