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?

Keith Marks was the subject of a profile piece in Law360, a publication widely read by financial, legal and compliance professionals.

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

The announcement of TradeChannel joining CSS was picked up by hundreds of outlets including Yahoo! Finance, Business Insider and MarketWatch.

In this CCast, we’ll cover the following: An examination of the current regulatory environment, including an overview of the SEC’s best interest rule proposal. Consider FINRA’s approach to Risk Management and how this parallels the SEC approach for investment advisers Identify cross over information, overlaps and new issues for Dual Registrants (such as insider trading, … Continued

NEW YORK, NY – Compliance Solutions Strategies (“CSS”), the leading global RegTech platform backed by CIP Capital that enables compliance professionals across the global financial services industry to navigate complex regulatory requirements, has acquired TradeChannel, a leading provider of post-trade regulatory reporting, data and systems integration software to the financial services industry. TradeChannel, based in … Continued

Keith Marks offered some advice to Elon Musk in an InvestmentNews piece that looked at the use of social media for advisers.