Author: Greg Hotaling, Regulatory Content Manager, Confluence COP27, the UN’s annual climate change conference held this year in Egypt from......
Author: Matt Calabro, Co-Executive Director, Compliance Services, Confluence This blog was originally published at Markets Media on October 7, 2...
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 enha...
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 c...
By Shane Flatman, Senior Product Manager – Compliance, Reporting, and Services, CSS, A Confluence Company The Sustainable Finance Disclosu...
Author: Shane Flatman, Senior Product Manager Compliance, Reporting and Services. Conversations with investment firms, management companies, fund adm...
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public co...
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 ...
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 managemen...
Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirem...
With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a......
One of the most important assets a firm can possess is a sterling reputation, and maintaining such a reputation involves…
The embattled U.S. Deputy Attorney General Rod Rosenstein recently spoke to compliance pros at the 2018 Annual Conference for Compliance…
The Cayman Islands has further bolstered its anti-money laundering (“AML”) and countering of terrorist financing (“CTF”) rules. The new AML/CTF…
On May 16, 2018, the SEC’s Office of Investor Education and Advocacy launched an educational website meant to demonstrate a…
Are you ready for Form ADV Part 3? As if the last annual updating amendment filing was not tedious enough…
The advertisement of investment performance is a critical risk area for private investment fund managers in terms of regulatory compliance…
NOTE: Ascendant Director of Cyber IT Services E.J. Yerzak recently spoke at the AIM Summit in Abu Dhabi, a conference…
Each investment adviser’s Code of Ethics and other compliance policies set forth the standards of business conduct to which supervised…
Ascendant Senior Consultant Melanie Mendoza has over 30 years of investment compliance industry experience, focused on investment advisers, registered investment…
Most firms have addressed cybersecurity in one aspect or another, thinking a few access controls and anti-virus programs are the…
On April 18, 2018, the SEC voted to propose several new rules and reforms related to fiduciary standards. The package…
A key message we picked up at a recent conference was how the role of the Chief Compliance Officer (CCO)…