ComplianceCasts™

Portability from CME/NEX Abide – A Walkthrough with CSS and REGIS-TR

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

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

Open for Business: BCP and Data Privacy Changes in a Post-COVID World

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

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

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


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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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