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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Stopping, or even slowing, the proliferation of cyber-event related criminal activities remains a chief goal in the broker-dealer and…
Following the Department of Labor’s November 27, 2017 announcement of an 18-month extension to the existing Fiduciary Rule transition period,…
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For any business, “ports” that allow for communication generally need to be open (for example, ports 80 and 443 for…
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On October 16, hundreds gathered at the Omni Shoreham Hotel in Washington D.C. to celebrate the 30th anniversary of the National Society…
Hope and fear play a major role in behavior ethics. Behavior ethics is teaching us that we are teaching ethics…
