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......
A 2013 speech by Stephen L. Cohen, Associate Director of Enforcement of the SEC, highlighted the importance of corporate compliance…
Guidance, doing the right thing, understanding the regulations and building solid compliance programs are triumphs not just for the regulated firms, but also for the industry and investors alike.
With investment advisers encouraged to begin filing suspicious activity reports (SARs) as soon as possible upon the issuance of the final anti-money…
CCOs are worried about CCO liability due to various concerns and confusions.
CCO Liability: Truth, Misunderstandings and How to Protect Yourself (Everything You Always Wanted To Know About CCO Liability But Were…
In a first for the country’s growing body of state breach notification laws, Tennessee has recently amended its law to…
The IAA has announced its public support of a bill that would provide relief from the “past specific recommendation” rule
The CRD system’s balance representation’s will now be much more intuitive.
For some attacks, the amount of time to compromise and exfiltrate data is measured in seconds. Time is of the essence when a potential incident occurs.
Financial services are target No. 1. That was confirmed in a 2014 SEC cybersecurity roundtable when Larry Zelvin, then a…
The Current State of Market Manipulation in Financial Markets Overview of Trade-Based and Contract-Based Open Market Manipulation How to Measure…
Common ‘Cents’ Compliance: How Managing an Effective Program Can Save You Millions Current SEC Priorities for Investment Advisers. The Current…