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......
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)......
You may unsubscribe at anytime with our simple “unsubscribe” link at the bottom of each communication. Please see our privacy notices below for further information, including a list of affiliates covered by this consent.
If you’ve been considering joining us in Scottsdale for our Sept. 23-25 compliance event, here are seven reasons you should…
In recent months, we have begun to offer roundtable events focusing on important, evolving topics within the compliance world.
Virtual Private Networks (“VPNs”) are a secure way for employees to access firm files remotely, whether working from a home…
Are you the designated chief compliance officer of a state-registered investment advisory firm? If so, you must be clocking many…
Cybersecurity is a risk that applies to firms both large and small without discrimination. Even very small advisory firms, which…
In an article posted by Ignites Europe, the Commission de Surveillance du Secteur Financier (CSSF) in Luxembourg declared that it…
For private fund advisers, fee and expense reviews are a cornerstone to a sound compliance program. The SEC repeatedly reinforces…
One week after the SEC adopted Regulation Best Interest and Form CRS, a Cincinnati roundtable hosted by Fort Washington Investment…
From the C-Suite to the Compliance Seat, executives, senior management, and risk management professionals have a very important role to play in driving their firms towards a more resilient organization.
We’ve all been there before…you get a request to review marketing materials, and there’s urgency to it. Great! You’ve successfully…
By a 3-1 vote, on June 5, 2019, the SEC acted to provide a new regulatory framework to help retail,…
Securities Financing Transaction Regulation (SFTR) reporting is rapidly taking shape as firms prepare to report with a phased in approach…