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.

Advertising Issues: SEC and GIPS Performance in the Private Fund Space

Over a year ago, OCIE released the Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers.” While the alert highlighted several areas where performance advertising is involved, our recent CSS/Ascendant conference panelists in a session entitled “Best Practices for SEC and GIPS Performance in the Private Fund Space” … Continued

From Wall Street to Main Street: Update on Standard of Conduct for Investment Advisers

Retail investors are confused! They fundamentally cannot differentiate between a broker-dealer and an investment adviser. And that has the SEC concerned. So when the DOL Fiduciary Rule was overturned earlier this year, the SEC stepped into the debate with its April proposal. And that was a key topic of discussion at the recent CSS/Ascendant fall … Continued

Placing Ethics and Compliance in the Foreground of Business Decision-Making

Thinking about how to make ethics and compliance part of a business’s decision-making can prove to be challenging. By nature, compliance professionals are often results-oriented, focusing on a binary end-result; either you are in compliance, or you are not. That focus is important, but emphasizing process is also vital, John Walsh, Partner at Eversheds Sutherland … Continued