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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The SEC is conducting “electronic messaging” examinations — mainly in the New York region — which include all forms of written communications related to an Adviser’s business.
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It’s only going to get harder to detect 21st century fraud with 20th century technologies. Embrace technology in your compliance program.
In addressing the SEC reporting modernizations of Form N-Port, those in the mutual fund industry would be wise to be planning for 2018 now.
Many private fund advisers are wondering: How does the DOL Rule apply to my business? Why does it apply to…
Supreme Court ruled that the SEC is bound by a five-year limitation period when it seeks disgorgement from those who have violated federal securities laws.
Review industry practices pertaining to identifying and monitoring service providers, and developing and implementing a due diligence program.
After months of delays, the DOL’s Fiduciary Rule goes into effect on June 9, 2017. What does this mean?
According to a new alert from the U.S Department of Homeland Security, nine minutes is all it takes for your compromised personal information to be widely accessible and for sale
