Coffee & Regs

In this episode, Director of Registered Investment Company Services, Allison Fraser and Director of Broker-Dealer Services & Private Funds, John Gentile discuss the latest on digital assets and cryptocurrency. Are they considered securities, what does the SEC’s risk alert mean for digital assets, and how should investment managers be thinking about cryptocurrency trading and compliance?

In this episode, CSS’s Regulatory Content Manager, Greg Hotaling and Head of Shareholding Disclosure at aosphere LLP, Faye Sutherland discuss shareholding disclosure rules for managed holdings and why obligations across jurisdictions can be even more difficult for investment managers than staying on top of regulatory change. 

In this episode, CSS’s team of cybersecurity experts E.J. Yerzak and Mike Farrell kick off Cybersecurity Awareness Month discussing the importance of vendor due diligence and the role that service providers can play in cyber incidents.

In this episode, CSS’s team of CCO experts Korrine Kohm and Dan Haynes discuss regulatory examinations, SEC priorities and trends and insights into how compliance teams can be more proactive before the regulators come knocking.

In this episode, CSS’s Chief Product Officer Ronan Brennan does a technical deeper dive into the latest news on the PRIIPs RTS, regulatory timelines and the challenges stemming from divergence between the EU and UK. 

In this second episode of a special two-part series on ESG, CSS’s Regulatory Content Manager, Greg Hotaling and ESG Specialist, Marye Cherry demystify the complicated world of ESG including the latest regulatory developments, the complexity of ESG data, and what ESG actually means for investment managers.     

In this episode of a special two-part series on ESG, CSS’s Regulatory Content Manager, Greg Hotaling and ESG Specialist, Marye Cherry demystify the complicated world of ESG including the latest regulatory developments, the complexity of ESG data, and what ESG actually means for investment managers.     

In this episode, CSS's Head of ESG, Marye Cherry discusses the latest updates on ESG, including the delay to the SFDR Level 2 RTS and the impact that will have on financial firms.   

In this episode, CSS's Executive Director, Jackie Hallihan and Senior Consultant, Adam DiPaolo discuss observations on the mood of compliance, with predictions of heavy regulatory activity, and key areas of focus including enforcement, ESG, cryptocurrency, whistleblowers and cybersecurity. 

In this episode, CSS's Director of Retail Wealth Manager Services, Korrine Kohm and Founder of Transition To RIA, Brad Wales discuss the path to becoming an independent registered investment adviser, best practices to get started on your journey and compliance pitfalls to avoid.