Compliance & Cybersecurity

Compliance and Cybersecurity
What the Chief Compliance Officer Must Bring to the Table

  • Satisfying Regulatory Expectations for Cybersecurity
  • Basic Controls and Monitoring of Networks and Systems
  • Business Continuity, Incident Response, and Fiduciary Responsibility
  • NIST (National Institute of Standards and Technology) Framework Awareness
  • Compliance Information Technology, and Executive Management
  • Preparation for the Examination

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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.

Latest Content

SEC Issues New Cyber Risk Alert to Financial Firms

Financial firms have a bigger target on their backs at the moment, according to a new risk alert issued July 10, 2020 by the Securities and Exchange Commission’s Office of Compliance Inspections and Examinations (OCIE).  This new risk alert on ransomware cautions investment advisers, broker-dealers, and investment companies that OCIE has recently observed a marked … Continued