The CFTC announced in June that it would extend many of the no-action relief letters that were set to expire on June 30 due to COVID-19.

What You Should Consider Before Transitioning From CME/NEX Abide Even though the portability flows can look quite basic at a glance, in our experience from previous porting projects, we know there are hidden challenges when you start to look under the surface. Before moving to a new solution, partner with CSS and make sure to … Continued

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 position limits and thresholds by market and ensure timely disclosures. View the CSS and aosphere finale … Continued

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

View our CSS & Mintz webinar to see results from the 2020 BCP & Cybersecurity Survey to benchmark your firm’s BCP against your industry peers, and gain insight into the direction of the “new normal.” Learn how to improve business resilience and mitigate cyber risks to understand the procedures and policies you need in place … Continued

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

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 position limits, thresholds by market and timely disclosures. View this first of a two-part exploratory webinar series on the recent … Continued

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

We help you prepare by tackling a number of key issues: How will the SEC and FINRA assess your Reg BI program? How should your firm prepare NOW for the coming SEC and FINRA scrutiny? Reg BI disclosures – where do the Form CRS conversation starters fit in? We’ll also provide some take away tips … Continued

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

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

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

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

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

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