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Todd Moyer, Confluence’s President and Chief Operating Officer, was recently interviewed by Ignites about what Tailored Shareholder Reporting means to…
EJ Yerzak highlights the importance of cybersecurity in the financial industry and the SEC’s efforts to enhance oversight in this area.
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.
Greg Hotaling, Confluence’s Regulatory Compliance Manager, offers his insights into the U.N.’s IPCC Assessment Report, produced in March.
Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers
Pittsburgh, PA, April 24, 2023 – Confluence Technologies, Inc. (“Confluence”), a global software provider helping the investment management industry…
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.
Tom Pfister, Confluence’s Managing Director of Compliance, Regulatory and Reporting, speaks with Chris Hamblin, WealthBriefing, about how quickly regulatory technology…
Dena Hopkins, CIPM, Senior Analytics Consultant, Confluence, was recently featured in an article from Ignites on the SEC’s clarification on…
