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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

+1 646 277 2450

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194 Main Street
Salisbury,
Connecticut 06068

+1 860 435 2255

Dublin, Ireland

Longboat Quay
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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

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

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9 Rue du 4 Septembre
75002
Paris

+33 (0)1 82 88 89 01

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Form CRS and Its Impact on State-Registered Advisers

While many investment advisers are starting to plan for Form CRS/Form ADV Part 3, one group of investment advisers can breathe a sigh of relief that this is a project that does not need to be on their ‘To Do’ list. As of now, no state regulator has adopted this disclosure document for state-registered advisers. … 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

7 Reasons to Attend Our Scottsdale Fall 2019 Compliance Conference

If you’ve been considering joining us in Scottsdale for our Sept. 23-25 compliance event, here are seven reasons you should take the plunge now! The Best Mix of Informational & Educational Speakers – We just added OCIE’s Co-National Associate Director of Investment Adviser/Investment Company Examination Program Marshall Gandy to our stellar list of presenters. He joins ex-NFL star Merril … Continued