Tag: threshold filing requirements

Refocusing on Position Limit Monitoring & Substantial Shareholding

In recent months, we have begun to offer roundtable events focusing on important, evolving topics within the compliance world. These breakfast briefings are designed to be collaborative exchanges, and our recent two-part series addressed challenges posed by position limits and substantial shareholding. A select and diverse group of investment managers were invited to each session, … 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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