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......
“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)......
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The FinDatEx TWG (Technical Working Group) for PRIIPs has published the proposed changes to the EPT template to account for…
For global investors, the accelerating pace of ESG regulatory developments portends a massive, additional layer of compliance obligations they will…
The European Supervisory Authorities (ESAs) are calling for industry input to a review of PRIIPs. The input provided will feed…
UK divergence from Brexit has now led to a different regime to SFDR in the UK called the Sustainable Disclosure…
Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. To registered…
Investment strategies focusing on certain environmental or social themes have been around for a long time. Historically, these strategies were…
An advanced automation and workflow platform for the production and distribution of investor documents such as PRIIPs KID and SFDR…
Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…
Big news for short position holders on EU markets. European Commission adopts lowering of reporting threshold to 0.1%. Entry into…
The Securities and Exchange Commission is not the only regulatory body increasing the number of examinations in 2021. On September…
ESMA has released an updated list of third-country markets considered as equivalent to a regulated market in the Union for…
Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT…
