Author: Aspasia Latsi, International Regulatory Analyst Now that the TSAM – the Summit for Asset Management in London – is......
Global scientific consensus and domestic political interests compete for its attention The SEC’s forthcoming Final Rule, requiring climate-related disclosures by......
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......
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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…
Clear rules for standard disclosures make compliance easier for ESG and private funds, said Todd Moyer, president and chief operating officer…
For investors tracking their shareholder identification obligations required by EU issuers under SRD2: Note that ESMA and the EBA have…
Author: Aspasia Latsi, International Regulatory Analyst Now that the TSAM – the Summit for Asset Management in London – is…
Pittsburgh, PA, July 19, 2023 – Confluence Technologies, Inc. (“Confluence”), a global technology solutions provider helping the investment management industry…
Todd Moyer, Confluence’s President and Chief Operating Officer, recently sat down with Traders Magazine to discuss data and reconciliation challenges…
Confluence’s President and COO, Todd Moyer, and CTO, Chris Evans, recently spoke with WatersTechnology on the announcement of our new solution, Unity Rex
The SEC has recently reopened the comment period for position reporting of large Security-Based Swap (“SBSs”) positions (proposed new Rule…
Global scientific consensus and domestic political interests compete for its attention The SEC’s forthcoming Final Rule, requiring climate-related disclosures by…
Meet ‘Rex’: Confluence’s Large Language Model-Based Solution Reconciles Data from Investor Reports in Seconds Pittsburgh, PA, June 29, 2023 – Confluence…
Last week, the SEC adopted two new rules related to the security-based swaps (SBS) markets, namely Rule 9j-1 and Rule 15fh-4(c)….
FR EN Confluence solutions to produce cost-efficient, transparent, customizable and compliant reports Pittsburgh, PA, June 21st, 2023 – Confluence has won public…
FR EN Confluence permet la production de rapports clairs, personnalisables et conformes aux réglementations Paris le 21 juin 2023 –…
