The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in......
Authors: John Gentile, Director, Private Fund Services, Confluence Armando DeChalus, Regulatory Compliance Analyst, Confluence The private fund regulatory landscape just......
Authors: Alison Fraser, Director, Institutional & RIC Services, Confluence Kevin Renner, Consultant, Confluence The SEC Division of Examinations (“EXAMS”) issued......
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......
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SEC proposed certain amendments to modernize Beneficial Ownership Reporting (13D and 13G Rules). More specifically, SEC proposed: i) new shorter…
On January 27, 2022, the SEC’s Division of Examinations (the “Division”) published a second risk alert for private fund advisers…
The following blog post was written by Jackie Hallihan, Executive Director of Compliance Services, and Matt Calabro, Director Institutional Services,…
In a recent settlement order, the SEC reminded the investment advisory community that the SEC remains vigilant in enforcing the…
The SEC’s December 17, 2021 Staff Statement Regarding Form CRS Disclosures essentially tells the industry that there are mistakes everywhere. The…
The RegTech space on the buy-side of the investment management industry has taken a little longer to mature than many…
What’s worked Back in April 2021, when the SolarWinds hack was publicly disclosed, much of the world discovered just how…
A new Q&A on the PRIIPs KID has just been released from ESMA. View it here. Some key updates include:…
As a follow up to our Coffee & Regs Podcast episode found here, we wanted to advise RIA that the…
On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…
Important ESG news for EU market participants: The European Commission, by letter to the EU Parliament and Council, has delayed…
On 22 November 2021, ESMA published its Final Report on its draft RTS relating to commodity derivatives under the MiFID…
