In this episode, CSS’s Regulatory Guidance and ESG Specialist Marye Cherry sits down with Vanessa Barnett, Senior Vice President, Global Head of Environmental, Social, and Governance at FactSet to navigate the latest news on the EU Sustainable Finance Disclosure Regulation. These experts of ESG discuss the newly released details on the RTS for Level 2 SFDR, how financial firms can manage their ESG data and the impending March 10 deadline for Level 1.
In this episode, CSS’s Regulatory Content Manager Greg Hotaling sits down with Faye Sutherland, Head of Shareholding Disclosure of aosphere LLP to discuss the 2021 watchlist in the world of shareholding disclosure – from foreign direct investment and shareholder activism to updates on short selling restrictions.
In this episode, CSS’s ESG experts Marye Cherry and Ronan Brennan talk about the latest developments with the EU Sustainable Finance Disclosure Regulation. The ESAs have published the much-anticipated final report and draft RTS on disclosures under the EU SFDR while there’s still the impending 10 March deadline for high-level, principles-based compliance with the Level 1 SFDR.
In this episode, CSS’s team of former Chief Compliance Officers Matt Calabro and Dan Haynes take a look at the global regulatory agenda in 2021 and provide practical tips and tricks to set compliance teams up for success.
In this episode, CSS’s Executive Advisor on Global Transaction Reporting Mikkel Mördrup sits down with Regulatory Specialist Nicklas Nilsson for a look back into the world of transaction reporting in 2020 - from uncertainties in the market to new regulations - and a look forward at changes to EMIR REFIT and MiFID II / MiFIR coming in 2022.
In this episode, CSS’s SVP of Business Development Ashley Smith sits down with Chief Client Officer Jac Dunne to take a look at some implementation case studies to uncover the challenges of regulatory reporting and how asset managers and fund administrators can optimize and scale their regulatory operations more efficiently.
In this episode, CSS’s Executive Director Jackie Hallihan sits down with Senior Consultant Adam DiPaolo to read the tea leaves on 2021. The compliance duo discusses changes to the SEC itself to regulations, rule-making, examination and enforcement trends and how to prepare for the predictability and unpredictability of compliance in the new year.
In this episode, CSS’s SVP of Business Development Ashley Smith joins Chief Product Officer Ronan Brennan to discuss a post-Brexit world for financial services, the end of passporting, what's next for equivalence and the upcoming March 2021 deadline.
In this episode, SVP of Business Development at CSS Ashley Smith sits down with two insurance and Solvency II experts from MBE Consulting to discuss the push for asset managers to attract more insurance investors, and what should asset managers be doing now, including focusing on data management and the quality of their Solvency Capital Requirement (SCR).
In this episode, CSS's Chief Product Officer Ronan Brennan represents the EU and President of CSS John Lee represents the UK in a no holds barred discussion on post-Brexit complexities in Part 2 of a special two-part series. The conversation focuses on how the fund industry will compete with Dublin and Luxembourg, and what's next for UCITS and the UK and EU fund regimes.
In this episode, Chief Product Officer of CSS Ronan Brennan joins Natalie Silverman to discuss all things Brexit in Part 1 of a special two-part series. The conversation starts with a recap on the state of negotiations and turns to the advantages and opportunities for funds and the implications of the UK/EU divergence for UCITS and PRIIPs.
In this episode, CSS’s Director of Cyber IT Services E.J Yerzak and Legal Director at ZwillGen Jason Wool talk about incident response planning. Why is it important to not just have a policy or program in place during a pandemic, but how to build trust with clients by protecting their data, mitigating any enterprise risk and using tabletop testing practices to put plans into action.
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.