NEW YORK — Compliance Solutions Strategies, a leading global RegTech platform that supports financial services firms in navigating complex regulatory requirements, is pleased to announce it has successfully assisted its clients in filing Form N-CEN.
The filings were made on Sept. 13 through Consensus, an award-winning CSS regulatory reporting and filing platform. Clients are also supported by CSS Best Practices, a team of regulatory attorneys, fund accountants, and data specialists who leverage their expertise and industry relationships to deliver comprehensive regulatory solutions, answer client questions, and communicate with regulators.
“We are delighted to have led a successful filing of a leading asset manager with hundreds of mutual funds and over $500 billion in AUM,” said CSS CEO Jim Casella. “The complexity of the filing and its resounding success assures our client base that we are well prepared for live filings of Form N-PORT when they commence in April 2019.”
Form N-CEN replaces Form N-SAR, and requires annual reporting of certain census-type information by registered investment companies to the SEC. Form N-CEN filers must submit their reports in a structured XML data format, which enables the SEC to more effectively collect, aggregate, and analyze the reported data. The compliance date for Form N-CEN was June 1, 2018 for all funds.
CSS will be filing Form N-CEN for numerous clients who continue to face increasing regulatory requirements under the SEC’s Reporting Modernization. Using Consensus, clients can file Form N-CEN and Form N-Port filings to the SEC in the required formats.
Consensus regulatory management system is an award-winning platform used by investment managers for a repeatable, reliable, and automated filing process. It supports filings for AIFMD Annex IV, CPO-PQR, Form ADV, Form N-CEN, Form N-PORT, Form PF, Solvency II, TIC Forms, and more.
CSS is a leading RegTech platform and provider of technology-enabled regulatory and compliance solutions to the global financial services industry. The CSS RegTech platform provides a comprehensive offering encompassing regulatory reporting, data management, outsourced compliance management services, compliance workflow tools, shareholding disclosure, trade monitoring, trading analytics and cybersecurity solutions. CSS focuses on serving the global financial services industry and collaborates with a large client base across asset managers, alternative investment funds, investment advisors, broker-dealers, banks and insurance companies. The Company maintains a global footprint across both the United States and Europe with offices in locations including New York City, London, Dublin, Amsterdam, Paris, Stockholm, and other U.S. cities. For more information, please visit www.compliancesolutionsstrategies.com or follow CSS on Twitter: @CSSregtech.
Melissa Maleri, CSS Executive VP Global Marketing – firstname.lastname@example.org – 860-596-8127
Subscribe to CSS Blog
CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.