Tag: MiFID II

TradeChannel Joins the Compliance Solutions Strategies Platform

NEW YORK, NY – Compliance Solutions Strategies (“CSS”), the leading global RegTech platform backed by CIP Capital that enables compliance professionals across the global financial services industry to navigate complex regulatory requirements, has acquired TradeChannel, a leading provider of post-trade regulatory reporting, data and systems integration software to the financial services industry. TradeChannel, based in … Continued

CSS Solution Silverfinch Welcomes TISA & PIMFA MiFID II Initiative

In late June, PIMFA, the UK wealth management association and TISA, the Tax Investment and Savings association published the “MiFID II Feedback Template,” to be known as the EFT. They also published a “Distributor Reporting Guide” to assist firms with implementation and understanding. The two together are the first steps in defining a reporting standard … Continued

MiFID II and PRIIPs Data Quality-Priority #1

In a recent whitepaper we published on SEC Reporting Modernization, we talked about how “timely, accurate, complete and consistent data are required for Forms N-PORT and N-CEN for two key reasons: these are public filings, and there are consequences to late or erroneous filings.” Not surprisingly, the same could also be said for the wave of European regulation due … Continued

Cherish Your Regulatory Data

It’s clear to me that firms that have adopted a strategic approach in their response to regulation tend to view their regulatory data as an asset. Firms with a strategic approach view regulation as a common thread impacting all of their peers market-wide, and so look for the opportunity in their response, as opposed to … Continued

What Should Fund COOs Worry About?

Given the dramatic impending changes in regulatory reporting requirements for asset management firms, their chief operating officers, administrators and compliance officials have pretty “full plates” these days. There is no shortage of reporting issues that hedge, mutual, and exchange-traded funds must address, including more extensive requirements arising from the SEC’s modernization drive, such as forms … Continued

CSS Signal Application Now Available Via ULLINK’s NYFIX Portal

Signal, a substantial shareholding and position limit monitoring and reporting solution from Compliance Solutions Strategies, is now available on ULLINK’s NYFIX Portal. CSS offers coverage for 89 jurisdictions and global exchanges through its Signal software platform. Signal users can compare their holdings to relevant jurisdictional and exchange rules, receive alerts when actions must be taken, … Continued

MiFID II Compliance with CSS

Firms across the breadth of the investment management and distribution landscape have faced a new and onerous set of challenges since January 2018 when MiFID II came into force. Our suite of products help you to reach MiFID II compliance while ensuring that you can continue to sell your funds and service your clients without interruption, whatever your place in the fund and investment management chain.


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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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