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......
On October 16, hundreds gathered at the Omni Shoreham Hotel in Washington D.C. to celebrate the 30th anniversary of the National Society…
Hope and fear play a major role in behavior ethics. Behavior ethics is teaching us that we are teaching ethics…
While changes to Form ADV on October 1, 2017 have been well-publicized, we encourage firms not to overlook the other…
There are three reasons sub-advisers need to catch up fast on N-PORT: Someone else’s regulation has become YOUR problem We’ve…
The U.S. Securities and Exchange Commission disclosed recently that its Electronic Data Gathering, Analysis and Retrieval (EDGAR) system, a comprehensive…
On September 28, 2017, the SEC provided regulatory relief to individuals and entities subject to the ’33 Act, ’34 Act…
The determination of hackers to exploit existing cybersecurity vulnerabilities of government agencies and businesses shot to the forefront again last…
How to make ethics part of your Firm’s Compliance Culture Where does the requirement to act ethically come from? Dealing…
Compliance Solutions Strategies’ Advise Technologies unit and Bloomberg today announced a joint regulatory reporting solution for mutual funds needing to…
Alongside technology experts from American Express, Credit Suisse and CIBC, Ascendant’s Jason Morton will speak on developments in regulatory technology…
As Hurricane Harvey touches down on U.S. soil and we hope for the safety of the millions in its path,…
The Boston Regional Office of the SEC has recently conducted roughly 20 unannounced visits to registered investment advisers in the…