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......
Cyber risk for financial firms is about to get a lot more regulated. Announcing its most recent Regulatory Flex Agenda......
ESG investing is at the forefront of the industry and with ESG-related regulations coming soon, having a streamlined ESG strategy in place is key for building and retaining competitive advantages....
By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)......
The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate sustainability risks into their investment management and......
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CSS invited ESG leader Simmons & Simmons to discuss the EU Sustainable Finance Disclosure Regulation (SFDR). The deadline for the SFDR Level…
XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and…
A global Tier 1 asset manager decided to take a more holistic approach to their regulatory reporting by moving from…
CSS was selected as the strategic partner to help a global Tier 1 investment manager move from a tactical to…
Initial Considerations and Finding Strategic Partners Thinking of becoming an independent registered investment adviser? This informative two-part ComplianceCast webinar series…
Since the compliance date of Form CRS over four months ago, the SEC has reviewed forms filed by registered investment…
CSS’s Regulatory Guidance experts discuss the latest global developments and how to take a more proactive and strategic approach to…
It seems that the burden of work continues to increase for compliance professionals in the investment management industry. While also…
This webinar focuses on the specific concerns that have been raised by the SEC regarding private fund advisers in their…
This recorded webinar features our team of current and former Chief Compliance Officers, all of whom have walked in your…
In this first installment on position limits, Regulatory Guidance expert Greg Hotaling surveys the current landscape of position limits imposed…
Cybersecurity is a fast-moving target, so it is not uncommon for firms to have questions when it comes to assessing…