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

Don’t Forget the Disclosure Obligation

Recently, the SEC announced the settlement of an enforcement case against Morgan Stanley Smith Barney (MSSB) involving charges that MSSB provided misleading information to its clients in connection with trading costs in its retail wrap fee programs. MSSB agreed to pay a $5 million penalty that will be distributed to harmed investors. The case is … Continued

Time to Hit the Form CRS Panic Button?

Don’t panic, CSS’s “Time to Hit the Form CRS Panic Button” ComplianceCast webinar, recorded on May 28 at 2:00 pm EDT will help you meet the deadline quickly and efficiently and answer any last minute questions you have. The Form CRS Automator will create a Form CRS that meets regulatory requirements without having to complete … Continued

CME Group to Wind Down European and Australian Repositories

Following an evaluation made by the CME Group, they have come to the decision to wind down the Abide Financial, NEX Regulatory Reporting businesses and their European and Australian Trade Repositories (TR). As CME/NEX Abide is shutting down their TR business, all CME/NEX Abide clients must now select and perform portability to a new Trade … Continued