How are investors impacted by the modernization of the Beneficial Ownership reporting in the US?
The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in......
Blog Archive
News, updates and analysis from around the world of compliance
October 31, 2023
October 24, 2023Takeaways from the SEC’s New Private Fund Adviser Rules – Build and Plan for Successful Implementation
Authors: John Gentile, Director, Private Fund Services, Confluence Armando DeChalus, Regulatory Compliance Analyst, Confluence The private fund regulatory landscape just......
September 22, 2023Behind the Curtain – SEC’s Risk-Based Approach to Examinations
Authors: Alison Fraser, Director, Institutional & RIC Services, Confluence Kevin Renner, Consultant, Confluence The SEC Division of Examinations (“EXAMS”) issued......
July 24, 2023Navigating the Next Market Downturn at TSAM London
Author: Aspasia Latsi, International Regulatory Analyst Now that the TSAM – the Summit for Asset Management in London – is......
July 3, 2023As pressures mount, SEC finalizing its rule for companies’ climate-related disclosures
Global scientific consensus and domestic political interests compete for its attention The SEC’s forthcoming Final Rule, requiring climate-related disclosures by......
May 11, 2023HEADS UP: SEC Division of Examinations Identifies Gaps and Signals Need for Main Office Policies and Procedures to be Applied at Branch Office Locations
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....
May 9, 2023The SEC adopted changes to Form PF impacting large hedge fund advisers and all PE advisers
Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers...
April 20, 2023Incident Reporting on the SEC’s Radar as Regulator Seeks to Mandate a Federal Breach Notification Standard
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....
March 8, 2023Embracing Equity and the Power of Awareness, Representation, and Community
Q&A with Kirsten Garrett, CHRO, Confluence With over two decades of human resources leadership experience, Kirsten Garrett is an accomplished......
January 10, 2023CSS’s top 5 most popular insights of 2022
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....
December 19, 2022New SEC Risk Alert Puts Investment Advisers’ Identity Theft Policies Under the Microscope
Identity theft is on the rise, and the U.S. Securities and Exchange Commission has taken notice of weaknesses in registered investment advisers’ controls....
November 15, 2022ESG: As COP27 highlights climate urgency, notions of “sustainability” fracture
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......
November 1, 2022ESG Strategy: Think Regulation, Data, and Budget
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...
October 27, 2022Navigating the SEC Marketing Rule: Keyways to Compliance
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 ...
October 7, 2022SEC Cyber Rule Generates Concern Among Industry Experts
Author: E.J. Yerzak, Director, Cyber IT Services, CSS, a Confluence company The dust has barely settled on the U.S. Securities......
See Full Archive
- ESG Update for Investment Firms: The Data Problem and E.U. Response October 4, 2022
- Charting a Path to SFDR Deadlines: Optimizing ESG and EET data collection, quality and reliability September 30, 2022
- Charting a Path to PRIIPS KID Deadlines: Four Months Left to Make Significant Data, Calculation and Filing Changes September 27, 2022
- Key Takeaways on the SEC’s Draft Strategic Plan for 2022 – 2026¹ September 8, 2022
- The State of ESG Regulatory Reporting – and What it Means for Market Participants and Investors September 7, 2022
- New SEC Cybersecurity Rules Are Coming – The Time to Prepare is Now August 11, 2022
- Key ESG Strategy Considerations August 8, 2022
- Aesop, the SEC, and the $2.5 Million Regulation S-ID Lesson August 5, 2022
- ESG Regulations Take Hold in Europe With Other Regions Set to Follow August 3, 2022
- Five PRIIPs Reporting Challenges Asset Managers Need to Know July 29, 2022
- Key Considerations When Replacing UCITS KIIDs With PRIIPs KIDs July 7, 2022
- Climate-related Regulation of U.S. Derivatives Markets: the CFTC Asks You to Weigh In June 23, 2022
- ESG Disclosures by Investment Firms: A Comprehensive Look at the SEC’s Proposal June 10, 2022
- Observations from the Bitcoin Conference 2022: The Future is Now! April 18, 2022
- To Elon Musk: there’s an app for that. It’s called Signal. April 8, 2022
- After Small Steps, a Giant Leap for Climate-Related Disclosure in the U.S.? March 29, 2022
- From Disclosure to Action March 17, 2022
- SEC Proposes New Cybersecurity Risk Management Rules February 25, 2022
- Proposed Rule: Amendments to Form PF February 22, 2022
- ESG: SFDR’s “Article 10” website disclosures February 22, 2022
- New SEC Rules Re-cap February 11, 2022
- Private Fund Adviser Risk Alert Part II February 9, 2022
- Adapting your RIA Compliance Program for Crypto January 7, 2022
- Custody Rule Vigilance December 29, 2021
- SEC Staff Statement on Form CRS Disclosures December 22, 2021
- 2021 RegTech in Retrospect December 22, 2021
- Hackers Return to the Field with a Proven Playbook December 21, 2021
- SEC Staff Issues Risk Alert on Robo-Advisers November 30, 2021
- SEC Proposes Modernization to Process for Applications November 19, 2021
- SEC Chair Gensler Puts Private Fund Advisers in the Spotlight November 12, 2021
- Compensating Advisers: Compliance Updates from the Department of Labor November 8, 2021
- Around the World in 10 Days: ESG Regulatory Developments October 27, 2021
- Cryptocurrencies in Your Compliance Program October 12, 2021
- Regulatory Examination Priorities & ESG Programs October 6, 2021
- Regulatory Examination Priorities & Insights September 29, 2021
- State Examinations on the Rise September 17, 2021
- EMIR REFIT FAQs September 10, 2021
- Evolving Threats: Battling COVID and Ransomware Variants September 3, 2021
- Recent Risk Alert from the SEC’s Division of Examinations August 16, 2021
- Hacking Tesla, Tractors, and the Hotel Elevator: Ten Observations from the DEF CON hacker conference in Las Vegas August 13, 2021
- Show Me the Money July 29, 2021
- The Dark Web Was Used to Sell Insider Trading “Tips;” From Where is Your Data Coming? July 20, 2021
- Cyberattacks Continue to Wreak Havoc – What Can Compliance Teams Do? July 15, 2021
- Expanding Your Compliance Program: Robust Compliance Management in a Post-Pandemic Era July 9, 2021
- Expanding Your Compliance Program – Code of Ethics Management July 1, 2021
- Let’s See All the Cards: Pre-Trade Monitoring and Position Limits June 21, 2021
- Bitcoin Takeaways for Investment Advisers June 17, 2021
- Expanding Your Compliance Program – Trade Surveillance June 15, 2021
- Keeping Your Compliance Program on Track June 9, 2021
- CCO Liability: Do you have a target on your back? June 2, 2021
- Changing Times: How Compliance Officers Should Address Regulatory Changes May 26, 2021
- DOL on the Prowl for Cybersecurity; Goes Further than SEC and NIST May 11, 2021
- The New Marketing Rule – Develop Your Plan May 5, 2021
- EU Relaxes its MiFID II Position Limit Regime May 3, 2021
- SEC Reminds Advisers About ESG Practices April 26, 2021
- Virginia Joins Growing List of Jurisdictions Regulating Data Privacy. What’s Next? April 20, 2021
- MiFIR Final Report Analysis April 15, 2021
- Public Pension Fund Independent Compliance Reviews April 6, 2021
- SEC Releases 2021 Examination Priorities March 29, 2021
- What is the First Document SEC Examiners Read? Form CRS March 25, 2021
- SEC Expects Updated Cybersecurity / BCP Policies: Takeaways from the SEC’s 2021 Exam Priorities March 22, 2021
- New Marketing Rule Effective May 4, 2021 March 11, 2021
- Groundhog Day for Compliance & the SEC in 2021 February 11, 2021
- ESAs Run Out of Options on PRIIPs KID as Draft RTS Has Been Submitted to the EU Commission February 4, 2021
- It’s settled – the cart goes before the horse…for PRIIPs KID February 3, 2021
- The Short Selling Saga: Market Volatility & Compliance January 29, 2021
- New York State Mandatory Registration for Investment Adviser Representatives January 25, 2021
- Brexit – A Free Trade Deal, Yet the Saga Continues January 4, 2021
- SEC Adopts Changes to Marketing and Cash Solicitation Rule Frameworks December 22, 2020
- CSS Hosts OCIE Director Pete Driscoll for a Virtual Fireside Chat December 2, 2020
- The Moving Target of ESG Regulation in the EU November 30, 2020
- Form CRS “Fiduciary” Guidance Received by IAA in June 2019 Still Valid November 18, 2020
- Time to Use the Bat Phone: Who to Call When a Compliance Officer Needs Help? October 30, 2020
- Texas Outlaws and a Silver Bullet: Position Limits in the USA October 12, 2020
- FAQs From the Cyber Desk October 12, 2020
- EU Position Limits: Born in the USA? October 12, 2020
- Double-Check the Disciplinary Response in Form CRS, Especially Checking Histories of Financial Pros October 12, 2020
- First Charges Filed Under NYDFS Cybersecurity Regulations October 2, 2020
- From One CCO to Another: Don’t Lie to the SEC September 25, 2020
- Compliance Culture in a Bottle September 3, 2020
- The SEC Amends the Definition of “Accredited Investor” and the Debate Over Private Market Protections Continues September 2, 2020
- Gaining a Seat at the Table – Influencing from Within September 2, 2020
- Navigating Regulatory Change: How to Win the Regulatory Game September 1, 2020
- The Lasting Impact of COVID-19 on Investment Management August 31, 2020
- Business Continuity and Preparing for Regulatory Exams Post-Pandemic August 28, 2020
- The Case for an Interim Evaluation of your Compliance Program August 27, 2020
- The Door is Wide Open: Unpatched Security Flaw Leads to Leak of Login Credentials for 900+ Enterprise VPNs August 21, 2020
- Q&A on Sensitive Industries with Marye Cherry, CSS’s Regulatory Guidance Expert August 16, 2020
- An unusual data breach: One without actual theft and that hasn’t caused harm…yet! August 13, 2020
- Breakdown of OCIE’s COVID-19 Compliance Risks Alert August 12, 2020
- Are Investment Managers Going to Have More KIDs? August 7, 2020
- Do You Feel Confident Your Password Hasn’t Been Hacked? August 5, 2020
- SEC’s New Committee Begins Review of Form CRS Filings July 30, 2020
- Proposed Amendment to 13F – What This Really Means? July 14, 2020
- SEC Issues New Cyber Risk Alert to Financial Firms July 13, 2020
- UPDATE: CTFC Issues No-action Letters for Temporary Relief in Response to COVID-19 Pandemic July 3, 2020
- LIBOR No More: SEC Focuses on LIBOR Transition Preparedness July 1, 2020
- Private Fund Risk Alert: Here is How Some Fared in Their Examinations; Will You Have the Same Deficiencies? June 25, 2020
- Keep Your Eye on the Prize June 25, 2020
- FINRA Enhanced Security Features for Super Account Administrators (SAAs) and Account Administrators (AAs) June 24, 2020
- CCPA Enforcement Begins July 1, 2020 – Violators Already Being Pursued June 24, 2020
- Global Short Selling Restrictions in a COVID-19 Economy June 3, 2020
- Shareholder Disclosure: Low Notification Thresholds in Europe June 2, 2020
- Don’t Forget the Disclosure Obligation May 29, 2020
- CME Group to Wind Down European and Australian Repositories May 28, 2020
- Private Fund Enforcement Order on Custody Rule Violations May 27, 2020
- Shareholder Disclosure: Long Holdings in Europe May 27, 2020
- RegTech Radar: Foreign Investment Developments May 20, 2020
- New York Rule Modernization Proposal May 12, 2020
- A Familiar Theme in Unfamiliar Times April 30, 2020
- Eventually, We Have to Go Back – BCP Post-Mortem April 23, 2020
- Coming of Age – The SEC Proposes Modernized Fund Valuation Practices April 22, 2020
- ESMA Proposes Major Changes to EMIR April 20, 2020
- New SEC Risk Alerts April 7, 2020
- COVID-19 and Compliance – Mitigation Efforts Will Have Compliance Consequences the SEC Soon Will Examine April 3, 2020
- Where Are Your Cybersecurity Blindspots with COVID-19? April 2, 2020
- SEC Grants Section 17a No-Action Relief to Open-End Funds March 30, 2020
- Guidance for State-Registered Advisers Dealing with COVID-19 March 27, 2020
- SEC Extends Form ADV & Form PF Relief, Modifies Conditions March 26, 2020
- OCIE Now Conducting Exams Off-Site Unless Necessary March 24, 2020
- CTFC Issues No-Action Letters for Temporary Relief in Response to COVID-19 Pandemic March 23, 2020
- SEC Offers Additional Relief for Advisers Impacted by Coronavirus March 19, 2020
- SFTR Phase 1 Delayed Three Months as ESMA Responds to Industry Requests March 19, 2020
- Pandemic Puts Business Continuity Planning to the Test; Regulators Take Notice March 13, 2020
- SEC Continues Scrutiny of Private Fund Cross Trades March 10, 2020
- Several States Coordinating Regulation Best Interest Pre-Implementation Exam Survey February 27, 2020
- As Form CRS Compliance Date Nears, Approaches to Meet Challenge Coming Into Focus February 12, 2020
- Key Takeaways from 2020 OCIE Exam Priorities January 31, 2020
- Pathway to Reg BI Compliance: Have You Started Your Conflict of Interest Assessment? January 29, 2020
- SEC Releases More Cyber Best Practices, Including Surprise Additions January 28, 2020
- Takeaways from FINRA’s Examination Priorities 2020 January 25, 2020
- 10 Compliance Tips for Starting 2020 Off on the Right Foot January 23, 2020
- Compliance Lessons Learned in 2019 January 17, 2020
- CSS Launches First Form CRS Software Tool In Market January 8, 2020
- FINRA Announces Revamped Examination and Risk Monitoring Program December 19, 2019
- Tobias Degsell to Discuss ‘The Art of Data’ at CSS 2020 Regulatory Compliance Forum December 19, 2019
- CSS & aosphere Collaboration Takes Global Threshold Management to the Next Level December 18, 2019
- Countdown to CCPA: Are You Ready to Comply with New Data Privacy Requirements? December 9, 2019
- ESMA Updates AIFMD Q&A on Reporting to National Competent Authorities December 5, 2019
- CSS Named to RegTech 100 List of World’s Most Innovative RegTech Companies November 26, 2019
- Proposed Amendments to Transaction Cost Calculations under PRIIPs November 19, 2019
- Introducing the Regulatory Book of Record (RBOR) November 13, 2019
- SEC Sets Clear Expectations Regarding Registered Investment Companies’ Compliance Programs November 12, 2019
- SEC Proposes Amendments to Advertising Rules November 5, 2019
- Roadmap to Conducting Annual Compliance Reviews November 5, 2019
- Technology Advances Here and On the Way for Form CRS November 1, 2019
- How to Become a Compliance Influencer October 23, 2019
- Tips From the Field to Enhance Your Compliance and Supervisory Programs October 22, 2019
- As SFTR Deadline Looms, Time to Take Control of Your Data October 18, 2019
- Data Quality the Key to Meeting Challenge and Opportunity of Cost Transparency October 17, 2019
- Tips to Prevent an SEC OCIE Investment Adviser Exam from Going Bad October 15, 2019
- Giving Voice to Values: A New Approach to Ethics October 14, 2019
- Tips for Developing a Tailored Private Fund Compliance Calendar October 11, 2019
- Brexit: Implications for Shareholders with Threshold Interests October 8, 2019
- Can We Say That Now? Predictions on Marketing and Advertising Amendments October 7, 2019
- Recent Privacy Law Changes for Advisers a Focus of Cyber Discussion in Scottsdale October 3, 2019
- Running Toward the RegTech Revolution October 2, 2019
- Virginia Investment Adviser Rules Amended – September 16, 2019 Compliance Date September 30, 2019
- Updates to the Massachusetts Investment Adviser Disclosure Rule September 23, 2019
- Improving Mutual Funds’ Principal Risks Disclosure September 19, 2019
- CFTC Orders Firm to Pay $1.5 Million in Connection with Phishing Cyber Breach, Cites Inadequate Cyber Training September 13, 2019
- Cayman Islands Data Protection Law Nears Taking Effect September 12, 2019
- SEC Risk Alert Puts Spotlight on Principal Trading, Agency Cross Trades September 9, 2019
- SEC Issues Guidance to Investment Advisers on Proxy Voting September 6, 2019
- Regulation Best Interest: Understanding the Obligations September 4, 2019
- Cannabis Cash & Federal Taxes – A Proprietary Process September 2, 2019
- Short-Termism, the EU Shareholder Rights Directive, and Their Relevance to Shareholder Disclosure August 27, 2019
- Effective Compliance Policies & Procedures and Annual Reviews: Meeting the Reasonably Designed Standards August 20, 2019
- 7 Reasons to Attend Our Scottsdale Fall 2019 Compliance Conference August 7, 2019
- Refocusing on Position Limit Monitoring & Substantial Shareholding July 31, 2019
- Serious Security Flaw Discovered in Three Widely Used VPNs – Update Now! July 25, 2019
- The Challenges of Compliance for State-Registered Advisers July 22, 2019
- How Can a Small Advisory Practice Economically Be as Cyber-Secure as Possible? July 9, 2019
- Will We See Liquidity Risk Management Programs in Europe Soon? July 8, 2019
- How an LPA’s Definition of Organizational Expenses Can Connect to a Custody Rule Violation July 2, 2019
- Early Impressions on Regulation Best Interest, Form CRS June 25, 2019
- Creativity vs. Compliance: When Marketing Just Doesn’t Seem to Get It June 6, 2019
- SEC Adopts Regulation Best Interest, Form CRS; Also Issues Interpretive Releases on IA Fiduciary Duty and Solely Incidental Exception June 5, 2019
- Reorganization of FINRA’s Examination Program Taking Shape May 30, 2019
- SEC Begins Cyber Sweep of Investment Advisers with Focus on Cloud Storage May 24, 2019
- What Happens When Your CRM is Breached? May 24, 2019
- Even When SEC Rulemaking Slows, Your Compliance Manual Shouldn’t Stagnate May 10, 2019
- Life Cycle Guidance for Service Provider Due Diligence May 9, 2019
- Takeaways and Tips Related to SEC Risk Alert on Regulation S-P May 8, 2019
- Refreshing the Annual Review Process to Address Business and Regulatory Risks May 7, 2019
- Suggestions on Global Threshold Monitoring May 2, 2019
- AIMA Forum Takeaways: Technology, Innovation and Change May 1, 2019
- How to Be a Wildly Effective Compliance Officer April 30, 2019
- Mitigating the Risk of Insider Trading April 29, 2019
- Compliance 2.0 – Being a Strategic Partner in Your Firm April 25, 2019
- Big Data Part III: Preparing for the Future of Global Regulatory Governance April 23, 2019
- Custody Concerns Continue April 11, 2019
- Blockchain Isn’t Hot Sauce April 5, 2019
- ESMA Updates AIFMD Q&As April 3, 2019
- Regulation Best Interest, Cybersecurity Top Concerns at IAA 2019 Compliance Conference March 15, 2019
- Cybersecurity Drives SEC to Modify Timing of Form N-PORT Filings February 28, 2019
- Why Attend Ascendant CSS Compliance Conferences? So Many Reasons February 22, 2019
- Shareholder Monitoring and Disclosures: Keeping One Step Ahead of the Front Office February 22, 2019
- The Challenges of Building a Global Compliance Program February 20, 2019
- Coming to America – California Adopts GDPR-Like Privacy Regulation February 11, 2019
- An Overview of MMFR – Article 37 Reporting Requirements February 8, 2019
- SEC Reopened After 35-Day Government Shutdown January 28, 2019
- FINRA Rolls Out New Central Registration Depository Functionality; Annual Verification Deadline Nears January 25, 2019
- Report on Operation of AIFMD Highlights Existing Issues January 16, 2019
- SEC’s Latest Risk Alert Focuses on Electronic Communications January 7, 2019
- SEC OCIE Issues 2019 Examination Priorities December 21, 2018
- CSS Shortlisted for Two HFM US Hedge Fund Technology Awards December 19, 2018
- European Commission Approves Draft Technical Standard for SFTR December 13, 2018
- A New View of How Technology Will Change the Emerging Crytpo-Economy December 4, 2018
- SEC Retail Investor Focus Turns Towards Registered Investment Companies November 12, 2018
- SEC Alerts Investment Advisers to Review Solicitor Arrangements November 9, 2018
- Pennsylvania Sounds Warning Bell Over Client Credentials and Custody November 1, 2018
- San Diego 2018 Conference Gallery October 22, 2018
- Advertising Issues: SEC and GIPS Performance in the Private Fund Space October 18, 2018
- From Wall Street to Main Street: Update on Standard of Conduct for Investment Advisers October 17, 2018
- Placing Ethics and Compliance in the Foreground of Business Decision-Making October 16, 2018
- What Am I Looking At? Making Sense of Your Cyber Testing Reports October 15, 2018
- It Takes a Village – Preparing for a Regulatory Exam October 12, 2018
- The ‘Next Frontier’ in Investment Advice October 11, 2018
- Lessons Learned: Wargaming Your Incident Response Plan October 10, 2018
- Marketing and Advertising Dos and Don’ts in a Digital World October 9, 2018
- Race to the Top – States Push to Broaden Breach Reporting Requirements October 8, 2018
- Why an Integrated Approach to RegTech is Key October 1, 2018
- 10 Rules for Marketing Alternative Funds September 20, 2018
- Data Breach Prevention and Response September 7, 2018
- The Regulatory Road, Part II: The Path Less Traveled August 31, 2018
- The Regulatory Road, Part 1: Strategic vs. Tactical August 29, 2018
- When Policies, Procedures and Testing Protocols Aren’t Enough… August 28, 2018
- How Do You Supervise for SEC Pay-to-Play Violations? July 27, 2018
- Upcoming ComplianceCast™: The Compliance Professionals Guide to Effective Trade Desk Monitoring July 27, 2018
- Hamilton Lane Announces Successful Form ADV Filing Through Consensus July 25, 2018
- VIDEO: Introducing Compliance Solutions Strategies July 24, 2018
- CSS Solution Silverfinch Welcomes TISA & PIMFA MiFID II Initiative July 19, 2018
- Do Your Fund Documents Clearly Disclose Receipt of Accelerated Monitoring Fees? July 13, 2018
- With New Risk Alert, SEC Doubles Down on Best Execution July 12, 2018
- California Privacy Law Brings ‘GDPR-Lite’ to the U.S. July 3, 2018
- CSS CRO Jeanette Turner on Bloomberg Markets June 27, 2018
- SEC Deficiency Letters Require Swift Action June 26, 2018
- Past Conference Speaker Inspiration for The Rock’s Next Blockbuster June 19, 2018
- Relief at Last – New Guidance on Inadvertent Custody June 15, 2018
- Advisers Beware: FBI “Operation WireWire” Shows Firms Increasingly Being Targeted Using SEC Filings June 14, 2018
- Deputy Attorney General Rod Rosenstein Discusses Compliance Program Effectiveness June 1, 2018
- Cayman Islands Updates AML Regulations for Private Equity May 21, 2018
- SEC Creates Bogus ICO Site to Teach About Cryptocurrency Fraud May 18, 2018
- Get Ready for Form ADV, Part 3: Form CRS May 15, 2018
- For Cryptocurrency and Blockchain, a Reckoning is Coming May 9, 2018
- Code of Ethics: SEC Focus Shifts Radar to Retail Firms May 7, 2018
- Ascendant’s Melanie Mendoza Authors Due Diligence Journal Article May 3, 2018
- Evolution of Fiduciary Rules Begins to Take Shape in SEC April 20, 2018
- 2018’s Chief Compliance Officer April 17, 2018
- Cyber Threat – Why the Best Defenders are Often the Worst Responders April 13, 2018
- Compliance Office 2.0 – The Roles They Are a Changing… April 10, 2018
- Fifth Circuit Weighs In on DOL Fiduciary Rule March 22, 2018
- SEC Proposes Amending Investment Company Liquidity Disclosures in Forms N-PORT and N-1A March 21, 2018
- Paradigm Shift in SEC Exams, Benefits of a Mock Exam March 12, 2018
- Why Should a Big Hedge Fund Use a Compliance Consultant? March 2, 2018
- OCIE Examined 15% of RIAs in 2017 February 15, 2018
- CSS’ Advise Unit Honored at 2018 HFM US Hedge Fund Technology Awards February 15, 2018
- Ascendant’s Adam DiPaolo Discusses Hypothetical & Model Performance Marketing Pitfalls February 14, 2018
- SEC’s Exam Priorities Offer Insight Into National Exam Program February 14, 2018
- SEC Updates: ICO Gatekeeper Standards, SEC/CFTC Swap Rules February 13, 2018
- 2018 SEC Exam Priorities: What You Need to Know February 9, 2018
- The Problem with Buying Off-the-Shelf: It May Not Fit! February 7, 2018
- U.S. Advisers Getting Serious About Fast-Approaching GDPR Deadline February 1, 2018
- Ascendant Shortlisted for Two Global Compliance Awards January 31, 2018
- Tech Transforms Compliance Role in 2017 January 5, 2018
- SEC Delays Form N-PORT Submission Requirements December 20, 2017
- MiFID II and PRIIPs Data Quality-Priority #1 December 18, 2017
- Transparency Spreads to FINRA Exam Findings December 14, 2017
- Cherish Your Regulatory Data December 13, 2017
- Cyber Crimes – Don’t Forget to File that SAR! December 8, 2017
- DOL Rule Extension to Overlap with SEC Consideration of Fiduciary Standards November 30, 2017
- Schedule 13D/13F Clarity on ETF Issues November 20, 2017
- What Should Fund COOs Worry About? November 19, 2017
- New Remedy Coming for SEC’s Custody Rule? November 14, 2017
- SEC Issues MiFID II No-Action Relief November 3, 2017
- Regulatory Changes Impacting RICs and Service Providers November 2, 2017
- Regulation Can Be Scary…But Is a RegTech Solution a Trick or Treat? October 31, 2017
- Publicly Available Information Heightens Need for Cybersecurity Vigilance October 30, 2017
- Best Practice Tips for the Use of Expert Networks in Investment Research October 27, 2017
- Ascendant’s Jackie Hallihan Honored at NSCP 30th Anniversary Celebration October 23, 2017
- Ascendant Compliance Conference Takeaways: 10 Tools of Behavioral Ethics October 23, 2017
- Firms Encouraged Not to Overlook Oct. 1 Books and Records Changes October 18, 2017
- If It’s New It’s Worrying; If It’s News It’s Really Worrying October 14, 2017
- The SEC Data Breach And Impact On New Reporting Rules October 4, 2017
- SEC Offers Regulatory Relief to Advisers Affected by Hurricanes October 3, 2017
- SEC Discloses Cybersecurity Breach That May Have Led to Insider Trading September 25, 2017
- CSS Consensus Partners with Bloomberg for SEC 22e-4 Reporting September 7, 2017
- Ascendant’s Jason Morton to Speak on RegTech at Strata Data Conference August 28, 2017
- Hurricane Season: How Does your BCM Program Stack Up? August 25, 2017
- Surprise, Surprise: SEC Conducting Unannounced Exams August 25, 2017
- DOL Fiduciary Rule Transition Period Extension to 2019 Requested August 10, 2017
- SEC Cyber Sweep Highlights Areas In Need of Improvement August 8, 2017
- Colorado Joins New York in Mandating Cybersecurity Controls for Financial Institutions August 1, 2017
- Electronic Messaging Exams: Looking Beyond Emails July 17, 2017
- Form ADV Help: ComplianceCast, Toolkit July 13, 2017
- FinTech, Briefly Frozen by DOL Rule, Is Hot Again July 7, 2017
- The Perils of ‘End-to-End’ Solutions to SEC Reporting Modernization That Don’t Go From End-to-End July 6, 2017
- How Private Fund Advisers Should Assess the New DOL Rule June 30, 2017
- Supreme Court Ruling Curbs SEC Disgorgement Power June 6, 2017
- ComplianceCast: Advice on Managing Due Diligence May 31, 2017
- DOL Fiduciary Rule Update May 26, 2017
- Countdown to Ruin: Hacked Data Goes Public in As Little as Nine Minutes May 26, 2017
- After ‘WannaCry,’ Everything Is Coming Up Cyber May 18, 2017
- ComplianceCast: Advertising & Marketing Compliance May 9, 2017
- Jay Clayton Sworn in as SEC Chairman May 8, 2017
- Past Ascendant Keynote Speaker Jeff Glasbrenner Featured as SI Cover Story May 5, 2017
- Implementing 2017 SEC Custody Guidance: A Panel Discussion April 10, 2017
- Operating Holding Companies and Transient Investment Company Status Clarified March 31, 2017
- Upcoming ComplianceCast Focuses on Recent SEC Custody Guidance March 16, 2017
- ComplianceCast Goes In-Depth on BCP & Transition Planning March 10, 2017
- Acting SEC Chair Signals Interest in Revising Accredited Investor Threshold February 28, 2017
- NIST Proposes Update to Cybersecurity Framework to Address Service Provider Oversight February 22, 2017
- Compliance Points for Insider Trading, MNPI February 15, 2017
- Overview of 2017 SEC, FINRA Regulatory Priorities February 6, 2017
- Ascendant Joins Compliance Solutions Strategies as Anchor Firm February 1, 2017
- SEC Examined 11% of Advisers in 2016 January 30, 2017
- Cybersecurity & 2017 SEC Exam Priorities January 26, 2017
- New York DFS Cybersecurity Rules Take Effect March 1 January 19, 2017
- SEC Releases 2017 Examination Priorities January 13, 2017
- ComplianceCast Predicts 2017 Compliance Developments January 12, 2017
- CCO Liability – Line in the Sand December 20, 2016
- 10 Reasons to Attend Ascendant’s San Diego Conference December 20, 2016
- Planning for the Annual Review and Reporting December 20, 2016
- BCP, ADV and other SEC Targets Discussed at NEBDIAA December 20, 2016
- SEC Announces Record Year for Enforcement December 20, 2016
- SEC Chair Mary Jo White Announces Departure as Regulatory Shift Begins December 20, 2016
- Two-Thirds Expect Delay, Revisions to DOL Fiduciary Rule December 16, 2016
- The Current State of Market Manipulation in Financial Markets December 6, 2016
- Where, When and How to Make a Disciplinary Disclosure in Regulatory Filings November 29, 2016
- SEC Chair Mary Jo White Announces Departure as Regulatory Shift Begins November 17, 2016
- SEC Announces Record Year for Enforcement October 24, 2016
- BCP, ADV and other SEC Targets Discussed at NEBDIAA September 27, 2016
- Top 10 Reasons to Attend Ascendant’s San Diego Conference August 9, 2016
- CCO Liability – Line in the Sand August 3, 2016
- Zero-Day Post-Trade Analysis Won’t Stop the Front Runners July 21, 2016
- Prepare for Business Continuity Planning Rule July 14, 2016
- NFA CPOs/CTAs, Beware Late Filing Penalties June 24, 2016
- SEC: Prioritizing Cybersecurity June 15, 2016
- GIPS Compliance Form Deadline June 14, 2016
- Need Help on Forms & Filings? June 10, 2016
- Password Manager vs. Autofill June 2, 2016
- Non-Governmental Adviser Exams Coming? May 31, 2016
- Why Care About Ethics? May 31, 2016
- Compliance Perfection Isn’t Realistic. Amen. May 25, 2016
- So, What Happens to SARs? May 25, 2016
- Observations on CCO Liability May 20, 2016
- Encrypted? So What, Says Tennessee May 19, 2016
- IAA Supports Bill to Relieve Adviser Burdens May 17, 2016
- FINRA CRD System Alert May 16, 2016
- Cybersecurity: Time’s Up! May 16, 2016
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