In this episode, CSS’s Regulatory Compliance Expert Greg Hotaling sits down with Head of Shareholding Disclosure at aosphere LLP Faye Sutherland to discuss what's next on the regulatory horizon in the second half of 2020. This coffee chat includes a round robin discussion on short selling bans, the wider EU regulatory position, regulators and COVID-19 and implications for substantial shareholding and sensitive industries.
In this episode, former Chief Compliance Officer and CSS’s Director of Institutional Wealth Manager Services Matt Calabro joins Natalie Silverman to discuss how investment managers are identifying high-risk areas, making changes to their risk profile and evaluating controls during market volatility.
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Head of Business Development at REGIS-TR Nick Bruce to talk about the world of transaction reporting and the fast-approaching deadlines for SFTR, clients making the switch from CME/NEX Abide to another trade repository and the impending Brexit.
In this episode, former Chief Compliance Officer and CSS’s Director of Registered Investment Companies Allison Fraser joins Natalie Silverman to discuss the evolving role of today’s Chief Compliance Officer – from the ongoing responsibilities of administering your firm’s compliance program to submitting timely filings and keeping up with regulatory change.
In this episode, CSS’s Regulatory Compliance Expert Greg Hotaling and Product Manager Mike Marmo discuss the market disruption due to COVID-19, periodic short selling bans and reduced thresholds that forced compliance teams to adapt to rapidly changing position limits, thresholds by market and timely disclosures.
In this episode, CSS’s EU Regulatory Counsel Marye Cherry and Regulatory Compliance Expert Greg Hotaling discuss the complexities around sensitive industries, the recent changes to rules and the impact that COVID-19 has had on global threshold management.
In this episode, CSS’s President and Founder John Lee joins CMO Natalie Silverman to discuss moving from a tactical to strategic approach to regulatory compliance and the challenges the market is facing today, from data management and total cost of ownership to risk, regulatory change and scalability.