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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Signifying Confluence’s commitment to increasing value to clients Pittsburgh, PA, and London, June 21, 2022 – Confluence Technologies, Inc.(Confluence), the global technology…
Take note that this month ESMA released an updated list of sanctions applicable to Short Selling Regulation violations, as well…
Our Greg Hotaling analyzes the SEC’s recent ESG related rulemaking here: https://cssregtech.com/2022/06/esg-disclosures-by-investment-firms-a-comprehensive-look-at-the-secs-proposal.
If you are subject to EU rules, don’t miss the briefing ESMA issued last week for domestic regulators across the…
On May 25th the SEC proposed an ESG disclosure framework for investment advisers and funds, examined in detail below. With…
The Hong Kong Exchanges and Clearing Limited (HKEX) has issued a consultation paper on revising Position Limits and Large Open…
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
“A few days ago, the Securities and Futures Commission (SFC) in Hong Kong issued a consultation paper on proposed changes…
The FCA have indicated in a round table with trade associations a rough timeline for when they expect to issue…
The Bitcoin 2022 Conference, held in South Beach April 6-9, was very well attended with upwards of 25,000 attendees, a…
Financial advisors and market participants take note: Last week the European Commission bundled and published revised RTSs detailing ESG disclosures…
The “Technoking and Chief Executive Officer of Tesla”, who on March 14th surpassed a 5% ownership threshold in the social media platform Twitter …
