Solutions

Best-in-class software and services, driven by innovative technology and field expertise.

Why CSS?

  • In an environment of decreasing margin driven by fee pressure and increasing regulatory compliance costs, the investment management industry needs to adopt a strategic approach
  • Compliance Solutions Strategies (CSS) is a global RegTech platform delivering a comprehensive suite of best-in-class solutions and services that speak to this strategic need
  • CSS is backed by CIP Capital, a specialist private equity firm focused on growth equity
  • Due diligence carried out on 200+ global solution providers to identify best-of-breed firms for each element of the CSS platform
  • CSS leadership team and advisory board with proven track record successfully building platforms in the asset management space
  • Platform executive teams add decades of experience in regulatory reporting, data management and compliance

Regulatory Reporting

Regulatory reporting and filing platform
  • Manage multiple forms and filings from a single platform
  • Strategic use of data via unified platform data model
  • Automated validations and compliance checks
  • Compare filings, manage workflows, and check approvals
  • Electronic timely submission of regulatory forms directly to regulator
  • Best practice team of regulatory attorneys and CFAs underpin the solution
  • Global coverage of the key investment advisor, mutual fund and private fund filings

Regulatory Data Management

Accudelta: Regulatory Data Management
  • Identifying, sourcing, and enriching data
  • Combines workflow, rules and notification engine to ensure timely, complete, and accurate data
  • Full transparency and audit trail
  • Applicable to other business uses
Regulatory Data Exchange
  • Supports secure and permissioned exchange of industry-endorsed templates
  • Solvency II (TPT)
  • PRIIPs (EPT)
  • MiFID II (EMT)
  • Sales reporting and costs disclosures for pension trustees (DCPT/FVPT)

Compliance Services

Ascendant – Compliance Consulting
  • Independent Consultation for SEC Enforcement Proceedings
  • SEC Registration
  • Risk Assessment, Annual Reviews, and 206(4)-7 and 38a-1 Service
  • Mock SEC Exam Services
  • FINRA + Broker-Dealer Services
  • IT Risk Assessment / Cyber / GDPR
  • Continuing Education & Training
  • Policies & Procedures
Shield
  • Mock SEC Cybersecurity exams
  • Incident Response policy and test plan development
  • Phishing and social engineering training and simulations
  • NIST Cybersecurity Framework implementation
  • Penetration testing and vulnerability scanning
  • InfoSec Policy manual customization
  • Ongoing consulting engagements
  • Pre-acquisition cyber due diligence
Compliance Technology Solutions
  • Compliance Program Manager
  • Policy & Procedures Management
  • Organizational Communication & Workflow
  • Compliance & Risk Testing
  • Reporting
  • Risk Management
  • Marketing & Advertising Review
  • Compliance & Risk Testing
  • Branch & Multi-Office Management
  • Employee & Adviser Management

Trade Monitoring & Analysis

Trade Compliance Analyzer
  • Post-trade compliance and data analytics platform
  • Detect, prioritize, and mitigate operational and compliance risks derived from trading activities
Trade & Transaction Reporting
  • Reporting across a range of regulatory directives targeting market transparency
  • MiFID I / MiFID II, EMIR, REMIT, FINFRAG, SFTR, Bank of Israel
Signal
  • Position limit monitoring
  • Substantial shareholder warnings and disclosure
  • Covering 89 jurisdictions and numerous exchanges
Longboat Analytics
  • Fund Focus – investment analytics
  • Fund Centre – Fact set solutions

10 Rules for Marketing Alternative Funds

When it comes to managers of alternative assets, it seems there’s a bit of a trust problem. According to a recent CFA Institute survey, for example, trust in hedge funds was 59% while trust in other alternative investment managers was only 60% among institutional investors. Those numbers come in far below institutional investors’ trust in mainstream managers, which … Continued

Upcoming ComplianceCast™: Promoting and Inspiring Ethics and Integrity in a Bottom-Line Workplace

How do you train your staff to be ethical and to promote ethical behavior throughout the organization? How do you reach busy and difficult employees? In this ComplianceCast, we’ll discuss policies that set the proper expectations, effective training methodologies, and the use of continual positive reinforcements designed to keep employees on the right path.

ComplianceCast™: The Compliance Professionals’ Guide to Effective Trade Desk Monitoring

Global regulators continue to enhance their ability to monitor the activities of market participants through a combination of new rules, filing requirements, and upgrades to surveillance technologies. As a result, many market participants, including both buy-and sell-side firms, need to re-assess how they currently monitor the trading desk, and whether new policies and procedures are … Continued