Financial entities affected by EU law: Take note of ESMA’s handy summary of upcoming deadlines for submitting consultation feedback. Check…

ComplianceCasts ™

- Juni 7, 202328 June, 2023Join our Webinar for an informative look at how to stay ahead of the composite...
- Mai 29, 2023
Webinar: Fireside Chat with Natasha Vij Greiner and Peter B Driscoll
6 June, 2023Fireside Chat with Natasha Vij Greiner, Deputy Director and National Associate ... - April 20, 2023
Webinar: It’s Not Too Early! Get Prepared Now for EMIR Refit
April 20, 2023The European Market Infrastructure Regulation (EMIR) Refit is designed to sim... - Oktober 5, 2022
Webinar: Fireside Chat with Richard Best, Director, Division of Examinations, SEC
November 02, 2022Joined by: Peter Driscoll, Partner, PwC and Kristin Snyder, Partner, Debev... - September 20, 2022
Webinar: Unpacking the SEC Cybersecurity Rules and Impacts
September 20, 2022The U.S. Securities and Exchange Commission (SEC) has moved a step closer to adoption of its propos... - September 20, 2022
Webinar: Navigating the Road to SEC Compliance: SEC Marketing Rule
September 15, 2022The hour long webinar saw Confluence thought leadership and industry experts discuss a range of SEC... - August 1, 2022
Webinar: Charting a Path to SFDR and PRIIPs KID Deadlines
August 1, 2022On 13 July 2022, we hosted a panel discussion with industry leaders, moderated by Shane Flatman, Senior ... - März 21, 2022
Dissecting the SEC’s Proposed Cyber Rules: Practical Takeaways
March 21, 2022New cybersecurity rules are on the horizon for investment advisers and investment companies......
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On Monday, June 21, 2021, SEC adopted the changes in the Technical Specifications of the form N-CEN. All changes are…
On Thursday 17 June 2021, the Belgian regulator (FSMA) issued a feedback statement (here) to PRIIPs manufacturers and distributors in…
A recent advancement in position limit compliance encapsulates the term “RegTech” quite well. Pre-trade monitoring – tracking orders before they…
We are witnessing the emergence of Bitcoin as a new (and growing) asset class among institutional investors – a rather…
Why should trade surveillance be a critical component of your compliance program? The short answer is that the devil is…
Position Limit Monitoring requires the regular sourcing of limits from exchanges and regulators to ensure that the most current limits…
The Colorado Legislature recently strengthened personal data privacy rights with the passing of the Colorado Privacy Act (Bill SB21-190), becoming…
The SEC has proposed a busy regulatory agenda. Among the topics listed are: ESG (proposal stage) Cybersecurity risk disclosure (proposal…
Gartner predicts that by 2023, 65% of the global population will be covered by privacy regulations and by 2024, over…
This year more than ever, it’s a time for renewal and optimism. As compliance professionals, we have completed our reviews…
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…