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
Trade & Transaction Reporting
  • Reporting across a range of regulatory directives targeting market transparency
  • MiFID I / MiFID II, EMIR, REMIT, FINFRAG, SFTR, Bank of Israel

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

Regulation Best Interest, Cybersecurity Top Concerns at IAA 2019 Compliance Conference

The Investment Adviser Association (IAA) represents the interests of investment advisers in Washington D.C., and the IAA Investment Adviser Compliance Conference 2019 was a forum for the discussion of future potential rulemaking. Cybersecurity and Fiduciary Rule considerations were headline topics, with custody and marketing right behind. The following is a summary of key issues discussed … Continued

A Year On: Transaction cost reporting under PRIIPS and MiFID II

In the runup to 1 January 2018, financial firms the world over rushed to select service providers for the various tools required to comply with PRIIPS and MiFID II.