The SEC’s new Marketing Rule that came into effect last year expanded the definition of advertising. It allows for marketing via new channels and enhances existing disclosure requirements. It will have significant compliance impacts on advertising and cash solicitations for investment advisers registered with the SEC.
• More than 80% of industry respondents — ESG ratings providers, users, and companies rated — favor EU regulatory intervention…
ESG investing is at the forefront of the industry and with ESG-related regulations coming soon, having a streamlined ESG strategy in place is key for building and retaining competitive advantages.
The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate sustainability risks into their investment management and…
Confluence announced today that its ESG solution is seeing significant industry adoption following the integration of capabilities through the successful acquisitions…
On 13 July 2022, we hosted a panel discussion with industry leaders, moderated by Shane Flatman, Senior Product Manager, Confluence…
Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirements, and adjust to new formats and content for preparing key investor documents (KIDs) by January 1, 2023.
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
The FCA have indicated in a round table with trade associations a rough timeline for when they expect to issue…
2021 marks the second consecutive year CSS has been awarded for itsinnovative regulatory compliance technology and services NEW YORK, January…
XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and…
A global Tier 1 asset manager decided to take a more holistic approach to their regulatory reporting by moving from…
