Behind 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......
Meet ‘Rex’: Confluence’s Large Language Model-Based Solution Reconciles Data from Investor Reports in Seconds
Read Full Press Release
We assist financial services firms in expertly navigating the complexities of global regulatory compliance. Our technology solutions solve for the most critical areas of compliance.
Many financial services firms simply need more direct expertise and guidance in solving their global regulatory compliance challenges.
Von White-Glove-Managed-Services bis hin zu maßgeschneiderten Compliance-Projekten kann unser Team globaler Regulierungsexperten Sie bei der Bewertung, dem Aufbau und der Optimierung einer Regulierungsinfrastruktur unterstützen, die Ihren individuellen Anforderungen entspricht.
Erfahren Sie mehr über unsere:
Managed Services
Compliance Services
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...
Datenmanagement
Ein globaler Tier-1-Asset-Manager entschied sich für CSS für umfassende Datenverwaltungstechnologie und Servicefunktionen, um Daten aus mehreren unterschiedlichen Quellen zu automatisieren und zusammenzuführen und gleichzeitig eine qualitativ hochwertige Datenausgabe zu gewährleisten.
Eigentumsgesamtkosten
Durch die Aufklärung historischer Lieferantenentscheidungen und die Umstellung auf eine strategischere, integrierte Lösung und ein zentrales Regulatory Book of Record reduzierte ein globaler Investmentmanager die Gesamtbetriebskosten und verringerte das Risiko aus seinem durchgängigen Regulierungsberichterstattungsprogramm.
Regulatorische Änderung
A tier 1 asset manager’s Global Head of Transformation engaged CSS to establish a stable, repeatable process, remove operational risk and manual processes, and to deliver a platform that they can further leverage in the future as the foundation for a global regulatory compliance partnership.
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.