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Text Content

Compliance Solutions Strategies (CSS) is now part of Confluence

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| Contact Us | Careers     
EN
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 * Platform
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WEBINAR: Fireside Chat with Natasha Vij Greiner and Peter B Driscoll

Register Now

Fireside Chat with Natasha Vij Greiner, Deputy Director and National Associate
Director for the Investment Adviser/Investment Company Examination Program, SEC
Division of Exams and Peter B Driscoll, Partner, PC
Start Your Journey

WHAT ARE YOU TRYING TO SOLVE TODAY?

I am a/an:
Asset Manager Bank Broker-Dealer Consultant Endowment Family OfficeFund
AdministratorHedge FundInsurance CompanyInvestment AdviserManCoPension
FundPrivate Equity Firm Registered Investment CompanySovereign Wealth FundOther
Wealth Manager
I need help with:
AutomationCompliance ServicesCybersecurityData ManagementDocument ProductionFund
ReportingInvestment MonitoringLowering Total Cost of OwnershipManaged
ServicesRegulatory Deadline/RegulationRisk MitigationScalabilityTransaction
Reporting

Custom search:
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REGULATORY TECHNOLOGY DRIVEN BY DATA. BACKED BY SERVICE.



We assist financial services firms in expertly navigating the complexities of
global regulatory compliance. Our technology solutions solve for the most
critical areas of compliance.




FIVE CRITICAL AREAS.


ONE PLATFORM.



CSS solves global regulatory compliance with an end-to-end, integrated approach
to technology and services to offer Compliance-as-a-Service, leveraging a
holistic RegTech platform, regulatory expertise and supported by managed
services.

 

How It Works



FUND REPORTING



INVESTMENT MONITORING



TRANSACTION REPORTING



COMPLIANCE MANAGEMENT



REGULATORY BOOK OF RECORD






NEED MORE THAN TOOLS?

OUR EXPERTS CAN HELP YOU DO THE WORK.



Many financial services firms simply need more direct expertise and guidance in
solving their global regulatory compliance challenges.

 

From white-glove managed services to bespoke compliance projects, our team of
global regulatory experts can help you assess, build and optimize a regulatory
infrastructure that meets your unique needs.

 

Learn more about our:

 

Managed Services    Compliance Services

Managed Services

 * Customized, High-Value Services
 * Data Management
 * Regulatory Filings



Compliance Services

 * Outsourced Compliance
 * Examinations & Enforcements
 * Risk Assessments & Annual Reviews
 * Registrations
 * Cybersecurity
 * Form CRS





LOOKING FOR INSIGHTS ON THE LATEST REGULATORY UPDATES?


 * May 29, 2023
   
   WEBINAR: FIRESIDE CHAT WITH NATASHA VIJ GREINER AND PETER B DRISCOLL
   
   
   
   June, 2023
   Fireside Chat with Natasha Vij Greiner, Deputy Director and National
   Associate Director for the Investment Adviser/Investment Compa...
   
   

 * May 11, 2023
   
   HEADS UP: SEC DIVISION OF EXAMINATIONS IDENTIFIES GAPS AND SIGNALS NEED FOR
   MAIN OFFICE POLICIES AND PROCEDURES TO BE APPLIED AT BRANCH OFFICE LOCATIONS
   
   The SEC Division of Examinations issued a Risk Alert on April 26, 2023,
   regarding weaknesses observed at branch office locations of investment
   advisers and broker dealers....

 * May 9, 2023
   
   THE SEC ADOPTED CHANGES TO FORM PF IMPACTING LARGE HEDGE FUND ADVISERS AND
   ALL PE ADVISERS
   
   Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting
   for All Private Equity Fund Advisers...

 * April 20, 2023
   
   WEBINAR: IT’S NOT TOO EARLY! GET PREPARED NOW FOR EMIR REFIT
   
   
   
   April 20, 2023
   The European Market Infrastructure Regulation (EMIR) Refit is designed to
   simplify European Markets infrastructure in harmonizi...
   
   

 * April 20, 2023
   
   INCIDENT REPORTING ON THE SEC’S RADAR AS REGULATOR SEEKS TO MANDATE A FEDERAL
   BREACH NOTIFICATION STANDARD
   
   A steady increase in the threat that data breaches pose to individual
   investors has spurred the Securities and Exchange Commission to revisit the
   issue of safeguarding customer information....

 * March 8, 2023
   
   EMBRACING EQUITY AND THE POWER OF AWARENESS, REPRESENTATION, AND COMMUNITY
   
   Q&A with Kirsten Garrett, CHRO, Confluence With over two decades of human
   resources leadership experience, Kirsten Garrett is an accomplished......

 * January 10, 2023
   
   CSS’S TOP 5 MOST POPULAR INSIGHTS OF 2022 
   
   As we leave 2022 behind and 2023 begins, make sure you didn’t miss a thing
   last year with this recap of our top insights....

 * December 19, 2022
   
   NEW SEC RISK ALERT PUTS INVESTMENT ADVISERS’ IDENTITY THEFT POLICIES UNDER
   THE MICROSCOPE
   
   Identity theft is on the rise, and the U.S. Securities and Exchange
   Commission has taken notice of weaknesses in registered investment advisers’
   controls....



WHY GLOBAL CLIENTS CHOSE CSS


> DATA MANAGEMENT
> 
> 
> 
> A GLOBAL TIER 1 ASSET MANAGER CHOSE CSS FOR DEEP DATA MANAGEMENT TECHNOLOGY
> AND SERVICE CAPABILITIES TO AUTOMATE AND BRING TOGETHER DATA FROM MULTIPLE
> DISPARATE SOURCES, WHILE DRIVING HIGH QUALITY DATA OUTPUT.


> TOTAL COST OF OWNERSHIP
> 
> 
> 
> BY UNRAVELLING HISTORICAL VENDOR CHOICES AND MOVING TO A MORE STRATEGIC,
> INTEGRATED SOLUTION AND CENTRALIZED REGULATORY BOOK OF RECORD, A GLOBAL
> INVESTMENT MANAGER REDUCED THE TOTAL COST OF OWNERSHIP AND MITIGATED RISK FROM
> THEIR END-TO-END REGULATORY REPORTING PROGRAM.


> REGULATORY CHANGE
> 
> 
> 
> A TIER 1 ASSET MANAGER’S GLOBAL HEAD OF TRANSFORMATION ENGAGED CSS TO
> ESTABLISH A STABLE, REPEATABLE PROCESS, REMOVE OPERATIONAL RISK AND MANUAL
> PROCESSES, AND TO DELIVER A PLATFORM THAT THEY CAN FURTHER LEVERAGE IN THE
> FUTURE AS THE FOUNDATION FOR A GLOBAL REGULATORY COMPLIANCE PARTNERSHIP.



START THE CONVERSATION



Take the first step on your global regulatory compliance journey. A CSS
regulatory expert will be in contact with you within the next business day.


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