and getting ready for the next annual refresh With the Packaged Retail and Insurance-based Investment Products (PRIIPs) Key Information Document......
Much ink has lately been spilled over the new Short Sale reporting rule in the U.S. New Rule 13f-2 was......
The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in......
Authors: John Gentile, Director, Private Fund Services, Confluence Armando DeChalus, Regulatory Compliance Analyst, Confluence The private fund regulatory landscape just......
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...
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Confluence’s Unity platform combined with FundGuard’s capabilities will enhance operational efficiency and deliver customers an out-of-box financial reporting experience. Pittsburgh,…
Damian Handzy, Confluence’s Managing Director, Performance, Risk, and Analytics, is featured in a new article from The Banker.
Damian Handzy, Confluence’s Managing Director, Performance, Analytics, and Risk, has published a new piece for Investment Week, focusing on the…
Q&A with Kirsten Garrett, CHRO, Confluence With over two decades of human resources leadership experience, Kirsten Garrett is an accomplished…
Greg Hotaling, Confluence’s Regulatory Content Manager, is featured in the latest issue of Asset Servicing Times, providing his insights on…
categorizing its approx. EUR 75 million in total revenue as well as 75 million in total expenses. The agency created…
Celebrating the one year anniversary since three key players in the investment management software industry came together to better serve…
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.
The European Securities and Markets Authority (ESMA) has published an updated practical guide on notifications of major holdings under the…
On 9 December the UK government announced it would repeal the European Union’s packaged retail and insurance-based investment products (PRIIPs)…
This is a reminder that if you have any investment adviser representatives (“IARs”) registered in a jurisdiction that adopted the…
