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Contact Compliance Solutions Strategies

Email us: info@compliancesolutionsstrategies.com

New York City, NY

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,
Sweden

+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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COVID-19 and Compliance – Mitigation Efforts Will Have Compliance Consequences the SEC Soon Will Examine

We understand that COVID-19 has brought many stresses, both personal and professional.  To many private fund advisers, this may seem an appropriate time to allow “compliance” to take a “back-seat.”  However, many business and management decisions your firm now may be contemplating or is already positioned to take likely will have compliance ramifications, now or … Continued

Where Are Your Cybersecurity Blindspots with COVID-19?

Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce in the midst of the COVID-19 pandemic. While the availability of VPNs and cloud-based services has enabled firms to continue operating, the paradigm shift to an entire staff working from home has not come without … Continued

SEC Grants Section 17a No-Action Relief to Open-End Funds

The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry during the COVID-19 national emergency. Another recent action is the relief granted by the SEC to open-end investment companies that are not exchange-traded funds and are not considered money market funds (“Funds”). The relief, granted … Continued