Shareholding Disclosure Rules for Managed Holdings

Shareholding Disclosure Rules for Managed Holdings   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...

Regulator Insights & SEC Exam Priorities

Regulator Insights & SEC Exam Priorities   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...

The Latest News & Analysis on the PRIIPs RTS

The Latest News & Analysis on the PRIIPs RTS   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...

Mythbusting ESG & FAQs Part 2

Mythbusting ESG & FAQs Part 2   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,...

Mythbusting ESG & FAQs Part 1

Mythbusting ESG & FAQs Part 1   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...

SFDR Level 2 RTS Delays and Latest Developments

SFDR Level 2 RTS Delays and Latest Developments   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.     About Our Guest...

The Mood of Compliance

The Mood of Compliance   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,...

The RIA Wild West of Going Independent

The RIA Wild West of Going Independent   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...

Preparing Private Funds for the Marketing Rule

Preparing Private Funds for the Marketing Rule   In this episode, our team of private funds experts, John Gentile, Eugenie Warner and Adam DiPaolo, discuss how private funds will be affected by the new Marketing Rule and how they can start preparing for...