The CSS 2020 Regulatory Compliance Forum & User Group Meeting: Managing Regulatory Change in the Funds Industry is a free, one-day event that will explore major concerns in our industry. This event will be an educational program for compliance professionals of fund managers, with a goal of fostering learning and inspiration. Just register at the … Continued
CSS Conferences + Education, held in prime locations around the United States, provide a forum for peer networking and the exchange of ideas and experiences in relaxed settings. Join us at The Ritz-Carlton, Sarasota in Florida on April 27-29, 2020 to hear from a distinguished panel of speakers including regulators, chief compliance officers, in-house and … Continued
CSS Conferences + Education, held in prime locations around the United States, provide a forum for peer networking and the exchange of ideas and experiences in relaxed settings. Join us at the Grand Hyatt Denver on October 26-28, 2020 to hear from speakers on the front lines of compliance, promising some of the most forward-thinking … Continued
Notice: Registration is closed for the following CSS events.
Securities Financing Transaction Regulation (SFTR) reporting is rapidly taking shape as firms prepare to report with a phased-in approach from April 2020. Join top SFTRs experts for an examination of key spotlight issues including lessons learned from EMIR & MiFIR, a look at the build vs. buy vs. delegate conundrum, and more. Space is limited, … Continued
Due to the complexities in shareholding disclosure requirements which have created significant challenges for firms to remain compliant, CSS is hosting roundtables in Los Angeles (November 12), San Francisco (November 13) and Chicago (November 14). The objective of these roundtables is to break down and explore how firms can tactically and strategically cope with and … Continued
Securities Financing Transaction Regulation (SFTR) reporting is rapidly taking shape as firms prepare to report with a phased-in approach from April 2020. Join top SFTRs experts for an examination of key spotlight issues including lessons learned from EMIR & MiFIR, a look at the build vs. buy vs. delegate conundrum, updates on MiFID II and … Continued
Due to the increasing rise of cybersecurity attacks and breaches, CSS is hosting an exclusive cybersecurity breakfast roundtable in our New York office on October 24 to coincide with Cybersecurity Awareness Month.
Due to the complexities in shareholding disclosure requirements which have created significant challenges for firms to remain compliant, CSS is hosting roundtables in Amsterdam (October 7) Dublin (October 9) and London (October 11). The objective of these roundtables is to break down and explore how firms can tactically and strategically cope with and stay ahead … Continued
Join us at the Hyatt Regency Scottsdale Resort & Spa in Arizona from Sept. 23-25, 2019 to hear from current and former SEC and FINRA officials, top lawyers and leading CCOs.
Mayer Brown LP and CSS will be hosting a vibrant, lunchtime planning session on Regulation Best Interest and Form CRS for advisers, dual registrants and investment advisers, to be held at Mayer Brown’s Chicago office on Aug. 19.
CSS and Mayer Brown LP will be hosting a vibrant, lively planning session on Regulation Best Interest and Form CRS for dual registrants and investment advisers with a broker-dealer affiliate. Broker-dealers must deliver Form CRS to each retail investor prior to or at the earliest of making a recommendation of an account type, securities transaction … Continued
CSS Breakfast Briefs – SFTR: A Review of the Reporting Challenges On 14 April 2020 banks and investment firms need to send their first transaction report for SFTR. SFTR is undoubtedly a complex regime and the reporting requirements will present numerous operational and data challenges. That is why CSS, together with leading Trade Repositories, are … Continued
CSS will give you an introduction to SFTR and its challenges. It is known that SFTR is a complex regime and compliance with SFTR reporting requirements will present a number of operational and data challenges, but wherein do they lie? Together with our partner REGIS-TR we will give you an introduction to SFTR and its … Continued
Due to the complex variations and intricacy in shareholding disclosure requirements which have created significant challenges for firms to remain compliant, CSS is hosting breakfast briefs in our offices in London (March 25), Stockholm (March 27) and Dublin (March 29). The objective of these briefs is to break down and explore how firms can tactically and strategically cope with and stay ahead … Continued
Ascendant and Compliance Solutions Strategies conferences, held in prime locations around the United States, provide a forum for peer networking and the exchange of ideas and experiences in relaxed settings.
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.
