Contact

Contact Compliance Solutions Strategies

Email us: info@compliancesolutionsstrategies.com

New York City, NY

3 East 54th Street,
8th Floor, New York,
NY 10022

+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

200 Aldersgate
St. Pauls,
London EC1A 4HD

+ 44 (0) 203 440 4208

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

Advertising Issues: SEC and GIPS Performance in the Private Fund Space

Over a year ago, OCIE released the Risk Alert, “The Most Frequent Advertising Rule Compliance Issues Identified in OCIE Examinations of Investment Advisers.” While the alert highlighted several areas where performance advertising is involved, our recent CSS/Ascendant conference panelists in a session entitled “Best Practices for SEC and GIPS Performance in the Private Fund Space” … Continued

From Wall Street to Main Street: Update on Standard of Conduct for Investment Advisers

Retail investors are confused! They fundamentally cannot differentiate between a broker-dealer and an investment adviser. And that has the SEC concerned. So when the DOL Fiduciary Rule was overturned earlier this year, the SEC stepped into the debate with its April proposal. And that was a key topic of discussion at the recent CSS/Ascendant fall … Continued

Placing Ethics and Compliance in the Foreground of Business Decision-Making

Thinking about how to make ethics and compliance part of a business’s decision-making can prove to be challenging. By nature, compliance professionals are often results-oriented, focusing on a binary end-result; either you are in compliance, or you are not. That focus is important, but emphasizing process is also vital, John Walsh, Partner at Eversheds Sutherland … Continued