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......
ESMA has released an updated list of third-country markets considered as equivalent to a regulated market in the Union for…
View the recent “For CCOs, By CCOs” webinar on “Regulatory Exam Insights” for actionable takeaways on: Exam Priorities – Compensation…
Where are we on EMIR REFIT? As of July 2021, ESMA has published a consultation on the draft EMIR REFIT…
Here’s a quick update on the various moving parts on PRIIPs and the RTS as it moves through the EU…
Today (September 7, 2021) the EU Commission announced the adoption of the PRIIPs RTS with the effective transition date for…
CSS awarded for its digital transformation technology and data analytics solutions which enable clients to move from tactical to strategic…
As the world prepares to address emerging COVID variants, there is another threat to people’s security: emerging ransomware variants. As…
Holders of securities on European markets: Today ESMA issued a new edition of its must-have reference for investment managers notifying…
The CFTC imposed a $1.5 million fine on a major global food processor for position limit and related violations. See…
SEC charges three firms for cyber deficiencies when phishing attacks and credential stuffing resulted in the firms’ cloud-based email accounts…
ICYMI – ESMA has published new SFTR validation rules and an updated version of the ISO 20022 xml-schema applicable from…
On the 15 July 2021 an 8-week consultation was kicked off by The European Commission that closes on 9 September…