CSS Successfully Facilitates Form N-CEN Filings for Clients

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.

About Consensus

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.

About CSS

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 CityLondonDublinAmsterdamParisStockholm, and other U.S. cities.  For more information, please visit www.compliancesolutionsstrategies.com or follow CSS on Twitter: @CSSregtech.

Contacts

Melissa Maleri, CSS Executive VP Global Marketing – mmaleri@compliancesolutionsstrategies.com – 860-596-8127

Latest Content

Short Selling Restrictions – Staying Ahead of the Regulatory Curve

The market disruption due to COVID-19 placed extraordinary strains on reporting regimes. Periodic bans and reduced thresholds presented an additional burden for financial firms, and challenges for compliance departments to keep track of rapidly changing position limits, thresholds by market and timely disclosures. Join CSS experts on Tuesday, June 2nd at 10am EDT in the … Continued