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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Good news from the FCA Policy Statement where it was confirmed the proposed effective date for the proposed UK PRIIPs…
View the on-demand webinar “Preparing for PRIIPs in 2022” for actionable takeaways on: the latest news on RTS…
The FinDatEx TWG (Technical Working Group) for PRIIPs has published the proposed changes to the EPT template to account for…
For global investors, the accelerating pace of ESG regulatory developments portends a massive, additional layer of compliance obligations they will…
The European Supervisory Authorities (ESAs) are calling for industry input to a review of PRIIPs. The input provided will feed…
UK divergence from Brexit has now led to a different regime to SFDR in the UK called the Sustainable Disclosure…
Investing in cryptocurrencies represents a relatively new alternative investment opportunity to diversify an investment portfolio to many investors. To registered…
A CSS Webinar on Mythbusting the Evolving ESG Landscape View the CSS webinar “ESG Experts’ Circle: Mythbusting SFDR & Beyond”…
Investment strategies focusing on certain environmental or social themes have been around for a long time. Historically, these strategies were…
An advanced automation and workflow platform for the production and distribution of investor documents such as PRIIPs KID and SFDR…
Have you been through a regulatory examination recently? If not, take heed, your time might be coming. Without even looking…
Big news for short position holders on EU markets. European Commission adopts lowering of reporting threshold to 0.1%. Entry into…