Tag: chief compliance officers

COVID-19 and Compliance – Mitigation Efforts Will Have Compliance Consequences the SEC Soon Will Examine

We understand that COVID-19 has brought many stresses, both personal and professional.  To many private fund advisers, this may seem an appropriate time to allow “compliance” to take a “back-seat.”  However, many business and management decisions your firm now may be contemplating or is already positioned to take likely will have compliance ramifications, now or … Continued

2018’s Chief Compliance Officer

A key message we picked up at a recent conference was how the role of the Chief Compliance Officer (CCO) has changed dramatically in progressive buy-side firms. Think about how historically the role of the Chief Financial Officer (CFO) was belittled and marginalized with throwaway descriptions of bean-counters. Not too long ago, similar descriptions of … Continued

Cyber Threat – Why the Best Defenders are Often the Worst Responders

The firms with the best and most pro-active cyber defenses are often the worst responders if their defenses are actually breached. Why so? Because a breach is new to them and they are immediately thrown off-kilter by the attack, unless of course, they have rigorous and frequent table-top exercises to prepare for such situations. So … Continued

Tech Transforms Compliance Role in 2017

CSS Chief Regulatory Officer Jeanette Turner was quoted in a recent Ignites article on how “Tech Transforms Compliance Role in 2017.” A flood of new reporting requirements and a shift in regulators’ expectations has made technology a critical component of fund companies’ compliance work in 2017. Chief Compliance Officers’ use of technology “is no longer … Continued


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CSS frequently publishes blog posts which are written by our team from their observations in the field, at conferences and through experiences with compliance professionals. These posts are designed to further knowledge and share industry best practices. Topics run the gamut, including Form ADV, cybersecurity, MiFID II, position limit monitoring, technology challenges and more. Complete and submit the brief form below to receive notifications when we publish new content.

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