ComplianceCasts™

Insurance Considerations for Investment Advisers

How much coverage is enough? What types of insurance policies do you need? Whether you are starting an investment advisory practice, launching a new line of business, or reevaluating your existing risks, there are critical questions to ask to make sure you understand the various ways to protect your firm. Join us for a practical … Continued

Custody – Get It Right: Just in Time for Your Annual Updating Amendment!

The SEC’s Custody Rule and its application to registered investment advisers is complicated and often misunderstood, and custody issues remain among the most common deficiencies cited during SEC exams. Download this important ComplianceCast to understand the key elements of the Custody Rule; identify available exceptions to certain requirements of the Custody Rule based on industry … Continued

SEC and FINRA 2018 Examination Priorities

The SEC and FINRA have recently released their examination priorities for 2018. These releases provide insight into regulatory priorities and serve as guidance for a firm in evaluating its compliance program. We will discuss topics covered in these releases, including: Protecting retail investors Disclosure Best execution Mutual fund selection Anti-money laundering Cryptocurrencies Technology and cybersecurity … Continued

Due Diligence of Sub-Advisers and Other Third-Parties

November’s Compliance Cast will look at the Adviser/Sub-adviser relationship, from the standpoint of sub-adviser. During the session, we will discuss: Qualities of an attractive sub-adviser candidate Initial and ongoing due diligence expectations Communications with the primary adviser Compliance and operational issues The session will be presented by Melanie Mendoza and Matt Calabro of Ascendant, and … Continued

Ethics: Building a More Ethical Workforce

How to make ethics part of your Firm’s Compliance Culture Where does the requirement to act ethically come from? Dealing with Ethical Dilemmas 2016 SEC Enforcement Cases that pertain to Ethics Fill in the form below to download this ComplianceCast™

One Phish, Two Phish, Red Phish, Blue Phish: How to Detect and Mitigate Social Engineering and Ransomware Techniques

Ransomware attacks like WannaCry and NotPetya are increasing in both frequency and damage, routinely making headline news with their abilities to bring down networks of established companies. Yet these cyberattacks typically start by compromising the weakest point in your security chain – people – through simple or complex phishing techniques before spreading to other parts … Continued

Form ADV: What You Need to Know Now to Prepare for October

October 2017 new Form ADV amendments continue the big data trend. Form ADV continues to expand ever more rapidly as data mining and handling techniques by regulators allow for the utilization of Form ADV for risk measurement. Ease the burden of answering over 100 separate questions (plus scores more for each private fund) through this … 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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