Posts By: Compliance Solutions Strategies

2020 Regulatory Outlook: A Fireside Chat Between CSS & aosphere

The market disruption due to COVID-19 placed extraordinary strains on reporting regimes. Periodic bans and reduced thresholds presented an additional burden for hedge funds, and in particular, the challenge for compliance departments is to keep track of rapidly changing thresholds by market and ensure timely disclosures. View the CSS and aosphere finale of the CSS’s … Continued

For CCOs By CCOs – How Chief Compliance Officers Mitigate BCP to Regulatory Change

In today’s world, Chief Compliance Officers and compliance teams are experiencing many unexpected challenges. This is in addition to the ongoing responsibilities of administering your firm’s compliance program, submitting timely regulatory filings and addressing regulatory change. View CSS’s ComplianceCast webinar to learn how to meet these challenges head-on. This is for CCOs by CCOs. Our … Continued

Signal – Monitoring the Fast-Changing Sensitive Industries Landscape

Join CSS regulatory experts to learn about enhancements to the Sensitive Industries module on CSS’s Signal platform. This webinar provides a comprehensive demo of the Sensitive Industries module, a discussion about the complexities of sensitive industries, the impact of COVID-19, plus the regulatory changes on the horizon. Webinar topics include: Sourcing sensitive industries rules and … Continued

Short Selling Restrictions – Staying Ahead of the Regulatory Curve

The market disruption due to COVID-19 placed extraordinary strains on reporting regimes. Periodic bans and reduced thresholds presented an additional burden for financial firms, and challenges for compliance departments to keep track of rapidly changing thresholds by market and timely disclosures. View this first of a two-part exploratory webinar series on the recent short selling … Continued

Time to Hit the Form CRS Panic Button?

Don’t panic, CSS’s “Time to Hit the Form CRS Panic Button” ComplianceCast webinar, recorded on May 28 at 2:00 pm EDT will help you meet the deadline quickly and efficiently and answer any last minute questions you have. The Form CRS Automator will create a Form CRS that meets regulatory requirements without having to complete … Continued

SEC Extends Form ADV & Form PF Relief, Modifies Conditions

On March 25, 2020, the SEC issued a new Order extending and relaxing some of the conditions pertaining to the available relief for filing and delivering Form ADV amendments and for filing Form PF.  Under the new Order, which replaces the March 13 Order, the relief is extended to applicable filing and delivery obligations on … Continued

Envestnet Partners with CSS to Help Advisors Meet Form CRS Filing Requirements

CHICAGO, March 24, 2020 — Envestnet, Inc. (NYSE: ENV) has entered into a strategic partnership with Compliance Solutions Strategies (CSS) to offer a comprehensive, fully customizable Form CRS software solution for registered investment advisers (RIAs) and broker-dealers to Envestnet clients. CSS’s Form CRS Automator software is designed to help firms meet the Form CRS filing requirements adopted by the … Continued

OCIE Now Conducting Exams Off-Site Unless Necessary

On March 23, 2020, the SEC’s Office of Compliance Inspections and Examinations posted an announcement on its website that “in light of health and safety concerns and other circumstances, OCIE has moved to conducting examinations off-site through correspondence, unless it is absolutely necessary to be on-site.” Similarly, over recent weeks, CSS has arranged with clients … Continued

SFTR Phase 1 Delayed Three Months as ESMA Responds to Industry Requests

The capacity of financial firms to comply with the upcoming go-live of SFTR reporting obligations has been critically compromised by the escalating COVID-19 pandemic. According to The International Securities Lending Association (ISLA) and the International Capital Market Association (ICMA) a delay is now necessary. The two industry bodies sent a joint letter to the European … Continued

CSS Launches First Form CRS Software Tool In Market

Global RegTech provider Compliance Solutions Strategies (CSS) today announces its release of Form CRS Automator, the market’s first comprehensive and fully customizable software solution designed to help firms meet the upcoming requirements of Form CRS which has been introduced by the Securities and Exchange Commission (SEC). CSS’s proprietary and Web-based tool gives regulated firms the ability … Continued

As SFTR Deadline Looms, Time to Take Control of Your Data

Looming regulatory deadlines – such as the impending roll-out of Europe’s Securities Financing Transactions Regulation (SFTR) – are rarely welcomed by compliance teams at buy- and sell-side firms. But the introduction of this complex and far-reaching regulation, starting April 2020, offers market participants a significant opportunity. Firms that have so far adopted a tactical approach … Continued


Subscribe to CSS Blog

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.


Mailing List