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...
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)......
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How To and What To Test Targeted Email Reviews Trade Blotter Analysis Forensic Testing Recommendations Testing Restrictions and Investment Policy…
The first deadline for compliance with the Alternative Investment Fund Managers Directive is July 22, 2013. For U.S. private fund…
DOL’s Web of Regulations Surrounding IAs Compensation Arrangements 408(b)(2) Disclosure Prohibited Transactions Considerations for AUM Calculations
You Name It, We’ll Cover It! Fundamental Discussion of an Effective Compliance Program From the Compliance Program Rule to Supervisory…
Exploring the CCOs Evolving Role Utilizing Technology to Enhance Supervision, Surveillance and Improve Compliance Functions Leveraging Technology for your Business…
Old Rules New Considerations Plus New Rules Growing Use of Social Media & Blogs Implications of the JOBS Act on…
Rules, Regulations and Reform Lasting Effects of Dodd-Frank Private Fund Reporting Obligations Impacts of ERISA Reform Building a Compliance Calendar…
A Step Beyond the Statutes & Rules Gross& Net Performance Reporting Reprints & Testimonials Assignment of Advisory Agreements Private Offering…
Focus on the Chief Compliance Officer Planning Aligning the Plan with SEC Concerns Resolving Issues Assessing and Monitoring Risk Reporting…
The Importance of Knowing Your Client & Their Account(s) OFAC & KYC Concerns Outdated Investment Policy Guidelines or Suitability Forms…
This bonus ComplianceCast is specifically tailored for: SEC Registered advisers managing private funds, (if you reported funds in Item 7.B1…
Who’s Watching Who Policies Versus Actual Practices CCO Supervisory Liability Form ADV Part 2B Supervision Disclosure Managing the Flow of…