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 preeminent 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 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)
Regulatory transaction reporting
  • T+1 regulatory reporting solution supporting EMIR (Article 9) and MiFID II art 26 – RTS 22
  • Fully integrated, end-to-end process providing connectivity to client source systems, trade repositories (REGIS-TR & DTCC), ARM and competent authorities
  • Built to extract, normalize and format transaction and position data as specified by reporting

Regulatory Data Management

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
Transaction Data Hub
  • Full support of trade lifecycle from trade capture to validation enrichment to confirmation and through reporting
  • Provides for standardized integration to large industry platforms
  • Full transparency and audit trail
  • Scalable platform to support future growth and changing requirements

Compliance Services

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
Cybersecurity Strategies
  • 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 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

Trading Compliance & Surveillance
  • Post-trade compliance and data analytics platform
  • Detect, prioritize, and mitigate operational and compliance risks derived from trading activities
Investment Data Analytics
  • Fund Focus – investment analytics
  • Fund Centre – Fact set solutions
Global Threshold Monitoring
  • Position limit monitoring
  • Substantial shareholder warnings and disclosure
  • Covering 90 jurisdictions and numerous exchanges

Where Are Your Cybersecurity Blindspots with COVID-19?

Google Data Reveals 350% Surge In Phishing Websites During Coronavirus Pandemic More financial firms have shifted to a remote workforce in the midst of the COVID-19 pandemic. While the availability of VPNs and cloud-based services has enabled firms to continue operating, the paradigm shift to an entire staff working from home has not come without … Continued

SEC Grants Section 17a No-Action Relief to Open-End Funds

The SEC has taken many actions in the past month to provide relief to registrants and the financial services industry during the COVID-19 national emergency. Another recent action is the relief granted by the SEC to open-end investment companies that are not exchange-traded funds and are not considered money market funds (“Funds”). The relief, granted … Continued

Guidance for State-Registered Advisers Dealing with COVID-19

In addition to the SEC providing relief and support to investment advisers, the North American Securities Administrators’ Association (NASAA) and state regulators have also provided guidance in the form of a very helpful resource page. The page includes information on temporary regulatory relief, as well as updates on the operating status of NASAA members. The … Continued