Posts By: Compliance Solutions Strategies

Preparing for SFTR Reporting: A Breakdown of the Guidelines

Securities Financing Transaction Regulation (SFTR) reporting is rapidly taking shape as firms prepare to report with a phased in approach from April 2020. The latest milestone is the publication of ESMA’s draft SFTR Reporting Guidelines in late May. These extensive draft guidelines are subject to a consultation period but even in their current state will … Continued

AIMA Forum Takeaways: Technology, Innovation and Change

We’re still digesting all the great takeaways from the recent AIMA Global Policy & Regulatory Forum 2019. The theme was “Technology, Innovation, Change,” which is exactly what firms should be focused on this year. In the general session, Jeanette Turner, Chief Regulatory Officer of CSS, led a lively panel on “Technology as a Gamechanger” with … Continued

Multi-Office Management

For compliance teams, pulling it all together is a complex and laborious process fraught with the perils of what might have been missed along the way.

Finding the Phish in Your Firm’s Pond

It’s Friday afternoon, and you’re planning to leave early and get a jump start on your weekend. You receive an email with the subject “Office 365 – Failed Login Attempts – Password Reset Required Immediately!” You wonder who tried to access your account or whether you forgot to logout of your email on the public computer at the hotel business center.

Blockchain Isn’t Hot Sauce

Guest post by Samson Williams, Partner – Axes & Eggs and Keynote Speaker – Ascendant CSS Spring 2019 Conference  I started telling people that blockchain isn’t hot sauce in mid-2017 to help explain why initial coin offerings (ICOs) were just the latest form of unregulated, online gambling. In November 2017, with Bitcoin nearing a high … Continued

The Challenges of Building a Global Compliance Program

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

EMIR Transaction Reporting

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.


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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.

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