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...
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 enhances existing disclosure requirements. It will have significant compliance ...
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 commander in the 1987 pilot episode of Star Trek – The Next Generation...
By Shane Flatman, Senior Product Manager – Compliance, Reporting, and Services, CSS, A Confluence Company The Sustainable Finance Disclosure Regulation (SFDR)......
Author: Shane Flatman, Senior Product Manager Compliance, Reporting and Services. Conversations with investment firms, management companies, fund administrators and industry attorneys have ramped up......
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public comment on......
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 building and retaining competitive advantages....
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 management and......
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Custody of Client Funds and Securities The sometimes-tricky determinations of custody. How apps can trigger custody. Third-party wires, forwarding checks…
Form ADV Overview Form ADV Part 1 Form ADV Part 2A Form ADV Part 2B Proposed Amendments to Form ADV…
Join Ascendant consultants as they discuss trends we have seen in 2015 and what that means for the Annual Review,…
Tone at the Top, Training and Tips How tone at the top can set a healthy compliance culture or render…
When investment advisers use the cloud, they are making a conscious, informed decision to outsource tasks to vendors who may…
Companies struggling with Word, Excel and other traditional applications to support compliance functions, often lack guidance when evaluating tailored software…
Investment advisory firms and related individuals provide “disciplinary disclosures” to the public and the regulators though registration and reporting filings,…
Worried About What You Don’t Know? A Curriculum for Becoming a Better CCO You’ve experienced Compliance 101: What’s next? Keeping…
Where The Issues Lie in Marketing Material Understand Advertising Rules Understand When it’s a Past Specific Recommendation Discuss Concerns with…
How to prepare employees for the unexpected. What behavioural ethics teaches us about how we act versus how we think…
Regulatory Concerns for Data Loss Prevention How confident are you in your firm’s information technology controls to prevent privacy breaches?…
50 Due Diligence Questions to Ask Your Cloud Services Provider You’ve made the decision to use cloud-based services. Selecting the…