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

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.

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 September 28-30, 2020 to hear from speakers on the front lines of compliance, promising some of the most forward-thinking … 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.