In this episode, CSS’s Chief Product Officer Ronan Brennan and Regulatory Guidance & ESG Specialist Marye Cherry talk about all things ESG. The integration of environmental, social and governance considerations into the investment process has taken center stage in the financial regulatory space. With the Sustainable Finance Disclosure Regulation (SFDR) deadline around the corner in 2021, the EU is about to usher in a wide range of new ESG requirements on EU financial market participants and financial advisers.
In this episode, CSS’s team of former Chief Compliance Officers Dan Haynes and Ariana Monchick sit down to discuss the importance of mentoring early-career professionals in your compliance department. Not everyone grows up wanting to be a CCO, but there are best practices to develop talent and build a robust compliance community from the grassroots.
In this episode, CSS’s team of former Chief Compliance Officers Allison Fraser and Matt Calabro sit down to discuss why financial services firms should establish a due diligence oversight program to build better partnerships with service providers and assess financial, operational, regulatory and reputational risks.
In this episode, CSS’s team of former Chief Compliance Officers Korrine Kohm and Victoria Olson sit down to discuss why outsourcing compliance no longer has a negative connotation. As a CCO takes on more responsibilities, from cybersecurity threats to business continuity plans, new regulations, changes in business strategy and more, imagine the benefits of having supplemental resources to complement an existing compliance program. Outsourcing individual tasks enables compliance teams to be more strategic and scale for future growth.
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak sits down with AVP, Program Executive at Varney Agency Nick Weiner for a Cybersecurity Awareness Month discussion on cyber insurance. The global cyber insurance market size is projected to grow from $7.8 billion in 2020 to $20.4 billion by 2025. Major factors driving this growth include the increasing number of security breaches and cyberattacks during COVID-19 that have resulted in large-scale financial losses and stringent government regulations towards adoption of cyber insurance policies. Many financial firms cite ransomware, business interruption and reputational risk as the biggest concerns when choosing to implement cyber insurance.
In this special Brexit episode, CSS’s Chief Product Officer Ronan Brennan sits down with the authority on global financial services legislation and Vice Chair of Financial Services at KPMG UK, Dr. Kay Swinburne. With the UK and EU not reaching a trade agreement on October 15, the EU summit is expected to push for negotiations to continue in the coming weeks. Kay speaks about what’s next for Brexit, and what regulatory divergence could look like.
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Chair of the Privacy & Cybersecurity Practice at Mintz, Cynthia Larose to continue Cybersecurity Awareness Month. The California Consumer Privacy Act, or CCPA, is the first law in the US to set up a comprehensive set of rules around consumer data, akin to the European Union’s General Data Protection Regulation, or GDPR. Since going into effect, industry and privacy advocates have been battling over the fine print. Is it just another compliance requirement or is it going to drive real change towards greater protection of consumer’s privacy and data?
In this episode, CSS’s Chief Product Officer Ronan Brennan sits down with Product Manager Brian DeDonato to talk about the complexities of position limit monitoring. The position limits duo provide a detailed overview of who sets position limits globally before delving deeper into the various limit types, data requirements for position aggregation and adjustments, and how best to track spot effective periods and step down limits.
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak speaks with Detected CEO Liam Chennells to kick off Cybersecurity Awareness Month. Taking cues from the world of RegTech, B2B marketplaces, supply chain and logistics sectors have uncovered why due diligence processes, business verification and data governance are critical to ensuring the entities you’re doing business with pose no threats to your organization, brand reputation or to your clients.
In this episode, Chief Client Officer at CSS, Jac Dunne joins Natalie Silverman to discuss why more investment management firms are looking to managed services to do more with less and conserve strategic resources. Keeping up with the pace of regulatory change has also pushed compliance teams to consider whether it is more efficient to buy vs. build.
In this episode, Managing Director in Accenture’s Risk Practice, Dr. Rafael Gomes joins Natalie Silverman to discuss Compliance-as-a-Service – an innovative and proactive framework that enables compliance teams to move from a tactical to strategic approach to regulatory compliance via technology, centralized data, managed services and access to regulatory expertise.
In this episode, Chief Product Officer of CSS, Ronan Brennan joins Natalie Silverman to discuss cross-border complexities from the transition many investment managers are preparing to make in the coming year from the UCITS KIID to PRIIPs KID regime.
In this episode, CSS’s Co-Executive Directors of Compliance Services, Keith Marks and Jackie Hallihan walk through a retrospective of Form CRS and Reg BI now that the June deadline has passed. They also discuss compliance best practices that are emerging in this COVID environment from changes in training, process and operations, to working with regulators and how firms have fared with regulatory examinations.
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup and regulatory expert and Founder of Laurellis Associates, Nik Volpe take a trip down memory lane to discuss knowing what we understand about transaction reporting today, what would buy- and sell-side firms have done differently to implement EMIR, MIFIR and SFTR.
In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Product Officer Ronan Brennan to talk about fragmented data sourcing, processes and technologies and how firms can manage data more strategically through a regulatory book of record (RBOR). The discussion also turns to how data management plays a role in simplifying the production of both UCITS KIID and PRIIPs KID.
In this episode, the founder and CEO of COMBINER and previous curator at the Nobel Prize Museum Tobias Degsell joins Natalie Silverman to discuss innovation, collaboration and inspiring teams to think differently about data.
In this episode, former Chief Compliance Officer and CSS’s Compliance Consultant Victoria Olson joins Natalie Silverman to discuss how CCOs can embed a culture of compliance into an organization to today’s reality of doing more with less and managing compliance programs remotely.
In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Dan Haynes joins Natalie Silverman to discuss how a CCO can earn a seat at the executive table and ways compliance teams can partner with the business to win trust.
In this episode, former Chief Compliance Officer and CSS’s Director of Retail Wealth Manager Services Korrine Kohm joins Natalie Silverman to discuss business resiliency, and how compliance teams need to begin thinking about post-pandemic business continuity and regulatory exams.
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak joins Natalie Silverman to discuss everything from hackers and the dark web to how COVID-19 has reminded financial firms of the importance of cybersecurity and business continuity planning. Regulatory authorities will undoubtedly use this event to re-examine, re-emphasize and re-educate the financial industry on common BCP weaknesses and lessons learned.
In this episode, former Chief Compliance Officer and CSS’s Senior Consultant Ariana Monchick joins Natalie Silverman to talk about the biggest challenge facing CCOs today – regulatory change. With the expanding scope of global regulations demanding constant improvement and agility, how do compliance teams anticipate change?
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.