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Contact Compliance Solutions Strategies

Email us: info@compliancesolutionsstrategies.com

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777 Third Avenue, 10th Floor
New York, NY
10017

+1 212-576-1170

Salisbury, Connecticut

194 Main Street
Salisbury,
Connecticut 06068

+1 860 435 2255

Dublin, Ireland

Longboat Quay
57/59 Sir John Rogerson’s Quay
Dublin 2, D02 F242

+353 1 671 6911

London, UK

4 St Paul’s Churchyard
Fourth Floor
London EC4M 8AY

+ 44 (0) 208 158 4580

Amsterdam, Netherlands

Amsterdam Sarphati Plaza
Rhijnspoorplein 10-38
1018 TX Amsterdam
The Netherlands

+31 (0)20 808 5915

Stockholm, Sweden

Barnhusgatan 16
111 23 Stockholm,
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+46 8 34 33 10

Paris, France

9 Rue du 4 Septembre
75002
Paris

+33 (0)1 82 88 89 01

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As Form CRS Compliance Date Nears, Approaches to Meet Challenge Coming Into Focus

Form CRS, the sleeping giant, awakens! Investment advisers and broker dealers are turning their attention to planning for Form CRS, training and developing procedures to implement the SEC’s new rule and related interpretive releases. CSS developed Form CRS Automator, a software tool, to streamline the process. It allows teams to quickly produce compliant and accurate … Continued

SEC to Firms: Here’s Where Your Cyber Programs Fail

CSS’s Director of Cyber IT Services E.J. Yerzak tells Ignites about a digital defense weakness that’s often overlooked at many firms.

Key Takeaways from 2020 OCIE Exam Priorities

On January 7, the SEC’s Office of Compliance Inspections and Examinations (OCIE) issued its exam priorities for 2020 and reiterated its focus on protecting retail investors, particularly seniors and those saving for retirement. Here are some key takeaways from the exam priorities: Retail Investors OCIE will continue to focus on recommendations and advice provided to … Continued