Looming regulatory deadlines – such as the impending roll-out of Europe’s Securities Financing Transactions Regulation (SFTR) – are rarely welcomed by compliance teams at buy- and sell-side firms. But the introduction of this complex and far-reaching regulation, starting April 2020, offers market participants a significant opportunity. Firms that have so far adopted a tactical approach … Continued

Technology has done much to increase cost transparency in recent years, yielding considerable power – and savings – to consumers. Price comparison websites, for example, make it easy for us to weigh the costs of regular household expenditure items – from holidays to utility services to home insurance – across multiple providers. Behind the technology … Continued

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

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

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

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

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

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

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.