Coffee & Regs

In this episode, CSS’s Head of ESG Marye Cherry sits down with corporate attorney at Scale LLP, Adam Johnson to discuss the evolving ESG landscape from the U.S. perspective, including the impact of the EU SFDR on U.S. asset managers and the U.S. regulatory position on ESG.

In this episode, CSS’s Director of Private Funds and a former SEC regulator, John Gentile sits down with Senior Vice President of Ultimus LeverPoint Private Fund Solutions, Andrew Jones to discuss the world of private fund managers. The round-robin discussion covers SEC registration to identifying as an Exempt Reporting Adviser, the impact of the new Marketing Rule on private funds and compliance best practices for fund admins.

In this special episode, CSS’s Chief Revenue Officer Terence Faherty takes a break from compliance and sits down with Managing Director of Stewardship at the Expect Miracles Foundation and Founder of The SamFund, Samantha Watson to talk about a dedicated commitment of the financial services community to bring meaningful resources to research and people impacted by cancer.

In this episode, CSS’s Director of Broker-Dealer Services and a former regulator, John Gentile and Executive Director, Jackie Hallihan sit down to discuss FINRA’s rule book regarding capital acquisition brokers. These are broker-dealers that limit their business to certain capital raising, mergers and acquisitions and corporate financing activities, so before you go down that regulatory path, it’s important to understand the rules and the benefits of CAB registration.

In this episode, former CCOs and CSS’s compliance services experts in retail and institutional wealth manager services, Korrine Kohm and Matt Calabro discuss a roadmap on navigating the new Marketing Rule, building an action plan and leveraging managed services and technology to help remove compliance complexities from the rule. 

In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency and cyber insurance expert, Nick Weiner to discuss the recent NYDFS guidance for insurers that underwrite cyber insurance policies. The guidance includes a Cyber Insurance Risk Framework that provides best practices for managing cyber insurance risk amid concerns of systemic and “silent” risks to the financial sector.

In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Regulatory Specialist Nicklas Nilsson to discuss the latest updates from ESMA on MiFIR in the world of transaction reporting and the trend to consolidate regulatory reporting and data going forward.

In this episode, CSS’s Co-Executive Directors of Compliance Services Keith Marks and Jackie Hallihan sit down to discuss actionable takeaways on implementing the SEC’s new Marketing Rule for registered investment advisers within the next 18 months.

In this episode, CSS’s resident document production experts Shane O’Sullivan and Charles Seigle-Goujon sit down to discuss how to prepare now for the UCITS to PRIIPs transition using best practices from the insurance industry and getting data governance procedures in place today. 

In this episode, former Chief Compliance Officers Matt Calabro and Allison Fraser sit down to discuss public pension fund independent compliance reviews. Pension fund managers have an extensive due diligence process to screen potential investment advisers for their programs. Today, this due diligence goes beyond examining an investment adviser’s investment process, research and execution capabilities to also include evaluating their operational and compliance excellence and cybersecurity controls.