Compliance programs face challenges in balancing global requirements with local exceptions while incorporating the fast pace of regulatory change, addressing critical business needs and obtaining the necessary resources necessary to manage the program. Trends and thinking on the subject were center stage at the recent CSS London event “Looking at the Year Ahead – Global … Continued
When you’re saving for your retirement, you want to know that your funds are in safe hands. For Elo—Finland’s leading provider of pensions for self-employed people—the aim is to support the financing of pensions by obtaining a good long-term return on pension assets relative to the risk of the investments.
The SEC and FINRA have recently released their examination priorities for 2019. These releases provide insight into regulatory priorities and serve as guidance for a firm in evaluating its compliance program.
Our annual year-end review covers investment adviser compliance highlights from 2018, and makes 2019 predictions.
We are proud to announce that Compliance Solutions Strategies has been shortlisted in two categories for the HFM US Hedge Fund Technology Awards 2019. We are one of nine finalists for the Best RegTech solution award for our best-in-class solutions, which cover regulatory reporting, regulatory data management, compliance services, and trade monitoring & analysis. We are … Continued
After several delays earlier this year, the European Commission has finally approved the draft technical standard (RTS) for SFTR. The European Parliament now have up to six months to scrutinize the legislation, which has been changed from the previous three-month suggestion. That means that the regulation will be published in the official journal by July … Continued
Identifying the strategic need for the implementation of an integration hub for financial transactions, positions and securities.
CSS Chief Product Officer Ronan Brennan reacts to the European Commission's decision to exempt Ucits funds from pre-sales information documents until 2022
Securities Financing Transactions Regulation (SFTR) requirements are expected to be adopted by the European Commission (EC) by Q1 2019. Prior to finalisation, the EC and the European Securities and Markets Authority (ESMA) must resolve some differences over the SFTR level 2 Regulatory Technical Standards (RTS), but no further material changes are expected.
Many private fund advisers are wondering: How does the DOL Rule apply to my business? Why does it apply to my business?
CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.
