and getting ready for the next annual refresh With the Packaged Retail and Insurance-based Investment Products (PRIIPs) Key Information Document......
Much ink has lately been spilled over the new Short Sale reporting rule in the U.S. New Rule 13f-2 was......
The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in......
Authors: John Gentile, Director, Private Fund Services, Confluence Armando DeChalus, Regulatory Compliance Analyst, Confluence The private fund regulatory landscape just......
Authors: Alison Fraser, Director, Institutional & RIC Services, Confluence Kevin Renner, Consultant, Confluence The SEC Division of Examinations (“EXAMS”) issued......
Author: Aspasia Latsi, International Regulatory Analyst Now that the TSAM – the Summit for Asset Management in London – is......
Global scientific consensus and domestic political interests compete for its attention The SEC’s forthcoming Final Rule, requiring climate-related disclosures by......
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....
Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers...
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....
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...
You may unsubscribe at anytime with our simple “unsubscribe” link at the bottom of each communication. Please see our privacy notices below for further information, including a list of affiliates covered by this consent.
Yesterday, ESMA published the Final Report on the Review of the SSR. There are three focal areas on the Report:…
On March 28th, 2022, ESMA published its Final Report on the EU Carbon Market (ESMA, “Final Report on Emission allowances…
Recent rulemaking developments at the SEC indicate that, if 2021 was a year in which it revealed its intentions about…
Earlier this week, it was announced that a bill will be introduced by year-end in New Zealand to increase the…
Today the SEC proposed rules to enhance climate-related disclosures, modeled in part on the widely used recommendations of the FSB’s…
New cybersecurity rules are on the horizon for investment advisers and investment companies…
Large Corporates and Financial Firms Face a New Breed of ESG Regulation under the EU’s Corporate Sustainability Due Diligence Directive…
For ESG investment managers with Australian products in their portfolios, ASIC notes the following about what lies ahead. Acknowledging that…
Background read – in case you missed it: Investment compliance offices might take note of proposed regulatory changes that would…
SEC proposed new Rule 13f-2 and amendments to Regulation SHO and CAT to increase market transparency regarding short selling, in…
During its examinations of advisers and funds, the Securities and Exchange Commission has observed a lack of cyber preparedness, determining…
On January 26, 2022, the SEC proposed amendments to Form PF to enhance the ability of the Financial Stability Oversight…
