ComplianceCasts™

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

Global Thresholds: Shareholder Disclosure & Position Limits

Break down and explore how firms can tactically and strategically cope with and stay ahead of the data challenges, filing nuances, and legal structure complexities of shareholding disclosures and position limit monitoring. During this webinar, our expert speakers CSS Regulatory Expert Greg Hotaling, aosphere Senior Associate Manisha Ramchurn and asophere Executive Director Claire Farley will discuss: Substantial Shareholder Disclosure: Regulatory … Continued

Form CRS & Conversation Starters Made Easy: Practical Application & Tips for Investment Advisers, Dual Registrants & Broker-Dealers

In this ComplianceCast webinar, co-executive directors of CSS compliance services Jackie Hallihan and Keith Marks address the challenges of Form CRS as firms prepare for its June 2020 compliance date. Topics include: Practical considerations for Form CRS How to manage Conversation Starters Conversation starter challenges: supervision, training, more… Where to start? Roadblocks? Identifying conflicts and … Continued

How Organizations Can Promote Ethics

Written ethical standards are useless if employees – especially a firm’s leadership – don’t follow them. CSS Ascendant Consultant Victoria Olson and seasoned Ethics Officer, Kimberly Tabb, JD, teach how you can breathe new life into your written Code of Ethics. This ComplianceCast explores ways that organizations of all sizes can promote ethical behavior and … Continued

Effective Compliance Policies & Procedures and Annual Reviews: Meeting the Reasonably Designed Standards

Investment Advisers must perform an annual evaluation of the effectiveness of their compliance program. This starts with ensuring, maintaining and implementing reasonably designed policies and procedures. This ComplianceCast webinar covers the recent regulatory changes that may trigger a need to reevaluate your present policies. Who Conducts and How to Conduct the Annual Review Planning and … Continued

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

The Importance of Effective ADV Disclosure: Staying Ahead of the Regulators

This ComplianceCast will discuss how firms can mitigate risk by having effective disclosure in their Form ADV Brochure. Our panelists will be CSS Ascendant Senior Consultant Ariana Monchick and Jessica Matelis, Partner at Foley & Lardner and former Senior Counsel at the SEC Division of Enforcement. They will discuss: Required disclosures The types of conflicts … Continued

SEC and FINRA 2019 Examination Priorities

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.

Compliance Considerations for Dual Registrants

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

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