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......
Jay Clayton has taken over the reins of the SEC after being sworn in as the 32nd Chair of the…
During our San Diego 2016 conference, we featured Jeff Glasbrenner, a below-the-knee amputee who was fresh off becoming the first American amputee ever to scale Mount Everest. This week, we’re thrilled to see Jeff on the cover of Sports Illustrated!
In early 2017, the SEC’s Office of Compliance Inspections and Examinations (OCIE) and FINRA released their annual examination priority letters,…
The presidential election as well as the current composition of the SEC has potential impacts for many regulations, including one…
The Impact on Thousands of Advisory Firms Ways an Adviser May Inadvertently Have Custody Practical Implications Next Steps More Surprise…
Implementing 2017 SEC Custody Guidance: Analysis, Practical Implications, Next Steps
Operating Holding Companies and Transient Investment Company Status Clarified by SEC in Guidance Update
On March 24, ComplianceCast will address the complex Custody topic, tackling practical implications of what circumstances now will constitute custody.
The BCP and transition planning rule–SEC Rule 206(4)-4–has major implications for both compliance and operations. ComplianceCast covers the proposed rule requirements, concerns and impacts.
In recent remarks by Acting SEC Chair Michael S. Piwowar, he signaled his interest in revising the accredited investor threshold in an effort to level access to higher risk, higher return investments.
NIST has proposed an update to its Cybersecurity Framework to address service provider oversight
The news headlines continue to be filled with insider trading scandals. Now is a great time to provide employees with additional training on what constitutes insider trading and the potential repercussions of acting on such information.