Tag: tactical compliance

The Regulatory Road, Part 1: Strategic vs. Tactical

A strategic approach to regulation in the investment industry is frequently championed in financial news articles and blogs. The majority of these missives urge investment firms to reconsider the traditional, tactical approach to compliance that results in a web of vendors and responses to regulatory reporting requirements. Firms that respond tactically to regulation handle each … Continued


Subscribe to CSS Blog

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.


Mailing List