Effective Compliance Testing

How To and What To Test

  • Targeted Email Reviews
  • Trade Blotter Analysis
  • Forensic Testing Recommendations
  • Testing Restrictions and Investment Policy Mandates

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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.

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Introduction to SFTR ‘Cheat Sheet’

SFTR is designed to enhance transparency of Securities Finance Transactions (SFTs) for all financial and non-financial EU entities and, branches of non-EU entities. The reporting obligation begins 11 April 2020 for investment firms, followed by a nine-month phased approach for other firms. Need a quick introduction to the key details of the regulation? Download our … Continued