Common ‘Cents’ Compliance

Common ‘Cents’ Compliance: How Managing an Effective Program Can Save You Millions

  • Current SEC Priorities for Investment Advisers.
  • The Current Climate at the SEC: Collaboration Between the Exam and Enforcement Staff.
  • The SEC’s Expansive View of Fiduciary Duty, Conflicts of Interest and Recidivism.
  • Strategies for Successfully Handling an SEC Exam.
  • How to Avoid Becoming an Attractive Target for SEC Enforcement.
  • Pros and Cons of Self-Reporting to the SEC.
  • Strategies in SEC Enforcement Investigations.

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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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