Upcoming ComplianceCasts™

A new ComplianceCast webinar is in the planning stages and should be up for registrations shortly. Please check back soon.

About ComplianceCasts™

The Compliance Solutions Strategies team offers ComplianceCasts, a customized web-based curriculum for IAs, BDs and hedge funds. ComplianceCasts intuitively examines the relationships between key regulatory issues and real-world business operations, addressing the educational needs of compliance officers and staff. Designed for your whole firm, ComplianceCasts are run by Ascendant experts with more than 25 years of experience in developing compliance training programs.

ComplianceCasts training focuses on key areas of interest for compliance, operational, and management personnel. Each ComplianceCasts session further integrates annual review compliance concepts, appropriate testing considerations, and SEC examination issues because we believe those frameworks must always be reviewed for a complete understanding of all compliance issues.

You will access ComplianceCasts via our secure link and view state-of-the-art active presentations – all you need is a web browser and a phone line to participate in real-time responses by panellists and information sharing with other participants.

To check out our ComplianceCast archive, click here.

View ComplianceCast™ Archive


Compliance Solutions Strategies Acquires AMFINE

Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading RegTech platform providing technology-driven solutions which enable financial services firms to meet mandatory regulatory compliance requirements, today announced the acquisition of AMFINE (“AMFINE”), a provider of SaaS-based regulatory reporting services to European asset managers, asset … Continued

BME Partners with CSS to Strengthen its Regulatory Service Suite

BME to offer financial services firms in Spain and Portugal a multi-regulation reporting platform Partnership brings a unique combination of local market presence and global coverage BME has partnered with Compliance Solutions Strategies (CSS), a leading RegTech platform provider, to offer a global regulatory reporting solution in Spain and Portugal. The combination of BME’s local … Continued

Compliance Culture in a Bottle

What makes one firm – and the various professionals who represent it – live and breathe by the book, while others are a bunch of scofflaws? I can tell you this for sure: there is no magic potion that you can buy to embed a culture of compliance in an organization. As cliché as it … Continued