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 89 jurisdictions and numerous exchanges

How Can a Small Advisory Practice Economically Be as Cyber-Secure as Possible?

Cybersecurity is a risk that applies to firms both large and small without discrimination. Even very small advisory firms, which I’ll define as having one to five staff for purposes of this discussion, have a wealth of information worth safeguarding. Cybercrime is often a crime of opportunity. Hackers are metaphorically going door to door (computer … Continued

Will We See Liquidity Risk Management Programs in Europe Soon?

In an article posted by Ignites Europe, the Commission de Surveillance du Secteur Financier (CSSF) in Luxembourg declared that it has “stepped up its supervisory focus on the liquidity aspects that are related to the recent developments” of Neil Woodford’s flagship fund and H2O Asset Management, an affiliate of Natixis Asset Management. In the U.S., … Continued

How an LPA’s Definition of Organizational Expenses Can Connect to a Custody Rule Violation

For private fund advisers, fee and expense reviews are a cornerstone to a sound compliance program. The SEC repeatedly reinforces this axiom, and a recent SEC Settlement Order highlights how the lack of such reviews and the misclassification of expenses can lead to a Custody Rule violation. In this case, according to the Settlement Order, … Continued