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...
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Chair Gensler has been beating a drum signaling that changes to the U.S. transparency regimes are likely. In prepared remarks…
It’s déjà vu all over again for cybersecurity professionals around the world, many of whom are now scrambling to recover…
The SEC announced that Peter Driscoll, the Director of the Division of Examinations, will leave the SEC on August 14,…
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Today, ESMA released a consultation paper on EMIR REFIT Reporting Guidelines. The consultation paper includes draft guidelines on topics relating…
AIFMD filings to The Netherlands are to be submitted through the AFM Portal as per July 1, 2021, replacing the…
The EU has delayed the SFDR Level 2 requirements by six months to July 2022. John Berrigan, head of the…
Compliance departments were no strangers to constraints during the pandemic. They were yet another area of the investment management industry that felt the effects of the pandemic, specifically with budget and…
Today the Chancellor of the Exchequer, Rishi Sunak, stated in a speech in London: “[O]ur ambition had been to reach…
Are you tired of spending hours opening envelopes, stapling statements together, logging the receipt of statements in a spreadsheet, and…
The alternative credit manager focuses on alternative credit strategies and has $5+ billion in assets under management. The experienced Chief…
First Intraday Compliance Capability for Order Building in Market NEW YORK, June 29, 2021 – Compliance Solutions Strategies (“CSS”), a…
