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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

+1 646 277 2450

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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Introducing the Regulatory Book of Record (RBOR)

I recently had the opportunity to sit down with our Chief Product Officer Ronan Brennan to discuss regulatory data management in front of an intimate and engaged audience of CSS conference attendees in Scottsdale, Arizona. The group ranged from small fund managers to large institutional asset managers, so it was difficult to boil down the … Continued

SEC Sets Clear Expectations Regarding Registered Investment Companies’ Compliance Programs

Chief Compliance Officers, Trustees and Service Providers to registered investment companies (RICs) be fair warned … the SEC’s Office of Compliance Inspections and Examinations (OCIE) has issued a Risk Alert identifying the most common deficiencies identified in examinations of RICs and providing observations with respect to money market funds and target date funds. With respect … Continued

SEC Proposes Amendments to Advertising Rules

In a proposal that would mark the first changes since 1961, the SEC has introduced amendments to modify the “Advertisements by Investment Advisers” Rule 206(4)-1 of the Investment Advisers Act. Changes to the rule would allow for testimonials and social media practices beyond that currently allowed, and performance marketing subject to new requirements. Some parts … Continued