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
Upcoming ComplianceCast™: Promoting and Inspiring Ethics and Integrity in a Bottom-Line Workplace
How do you train your staff to be ethical and to promote ethical behavior throughout the organization? How do you reach busy and difficult employees? In this ComplianceCast, we’ll discuss policies that set the proper expectations, effective training methodologies, and the use of continual positive reinforcements designed to keep employees on the right path.
ComplianceCast™: The Compliance Professionals’ Guide to Effective Trade Desk Monitoring
Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules, filing requirements, and upgrades to surveillance technologies. As a result, many market participants, including both buy-and sell-side firms, need to re-assess how they currently monitor the trading desk, and whether new policies and procedures are … Continued
Data Breach Prevention and Response
According to the Investment Firm of the Future, a report published by CFA Institute earlier this year, 24% of the organization’s members rated cybersecurity as their firm’s top technology priority. With the myriad challenges facing investment professionals in 2018, that’s a striking number. What to do? E.J. Yerzak, Director of Cyber IT Services for Ascendant Compliance … Continued