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......
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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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At FINRA’s recent annual conference in Washington D.C., President and CEO Robert W. Cook and Executive Vice President of Member…
A sweep of investment advisers is underway by the U.S. Securities and Exchange Commission, which has sent out many letters…
Even your client relationship management (CRM) software may not be safe from hackers. That’s the lesson some advisers are learning…
Maintaining tailored policies and procedures is a critical component of an adviser’s internal controls. Time and time again, we’ve heard…
Engaging third-party service providers to perform key functions can offer an investment adviser access to state-of-the-art technology and solutions necessary…
On April 16, 2019, the SEC released a Risk Alert providing a list of compliance issues related to Regulation S-P,…
Rule 206(4)-7 requires each registered adviser to review its policies and procedures no less frequently than annually, to determine their…
On the heels of several European events focused on shareholder and position limit monitoring, we shifted to Miami, Florida and the Ascendant Compliance Solutions Strategies 2019 Spring Conference for another engaging session on the subject.
We’re still digesting all the great takeaways from the recent AIMA Global Policy & Regulatory Forum 2019. The theme was…
Being a Compliance Officer is no easy task. Administering a compliance program, implementing controls to help protect clients and the…
One of the biggest risks affecting investment advisers is the potential that material non-public information (“MNPI”) may be misused, leading…
Compliance as a profession continues to evolve. With Enron, Bernie Madoff and numerous other failures paving the way for rulemaking…
