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....
Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers...
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....
Q&A with Kirsten Garrett, CHRO, Confluence With over two decades of human resources leadership experience, Kirsten Garrett is an accomplished......
As we leave 2022 behind and 2023 begins, make sure you didn’t miss a thing last year with this recap of our top insights....
Identity theft is on the rise, and the U.S. Securities and Exchange Commission has taken notice of weaknesses in registered investment advisers’ controls....
COP27, the UN’s annual climate change conference held this year in Egypt from 6 to 18 November with about 100 heads of state in attendance......
This blog was originally published at Markets Media on October 7, 2022. Sustainable investing disclosures in the U.S. are currently governed by general fraud prohibitions in advertising and not by formal...
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 ...
Author: E.J. Yerzak, Director, Cyber IT Services, CSS, a Confluence company The dust has barely settled on the U.S. Securities......
“I am superior, sir, in many ways. But I would gladly give it up to be human.” - Data It’s an observation made by the fictional lieutenant commander in the 1987 pilot episode of Star Trek – The Next Generation...
By Shane Flatman, Senior Product Manager – Compliance, Reporting, and Services, CSS, A Confluence Company The Sustainable Finance Disclosure Regulation (SFDR)......
Author: Shane Flatman, Senior Product Manager Compliance, Reporting and Services. Conversations with investment firms, management companies, fund administrators and industry attorneys have ramped up......
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public comment on......
Regulatory frameworks are quickly emerging to standardize the reporting and disclosure of ESG metrics across as many as 140 jurisdictions around......
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CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading…
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…
Confluence’s Unity platform combined with FundGuard’s capabilities will enhance operational efficiency and deliver customers an out-of-box financial reporting experience. Pittsburgh,…
Damian Handzy, Confluence’s Managing Director, Performance, Risk, and Analytics, is featured in a new article from The Banker.
