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Author: E.J. Yerzak, Director, Cyber IT Services, CSS, a Confluence company The dust has barely settled on the U.S. Securities…

“I am superior, sir, in many ways.  But I would gladly give it up to be human.”  – Data
It’s an observation made by the fictional lieutenant commander in the 1987 pilot episode of Star Trek – The Next Generation

By Shane Flatman, Senior Product Manager  – Compliance, Reporting, and Services, CSS, A Confluence Company The Sustainable Finance Disclosure Regulation (SFDR)…

Author: Shane Flatman, Senior Product Manager Compliance, Reporting and Services.

Conversations with investment firms, management companies, fund administrators and industry attorneys have ramped up…

By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public comment on…

Regulatory frameworks are quickly emerging to standardize the reporting and disclosure of ESG metrics across as many as 140 jurisdictions around…

Cyber risk for financial firms is about to get a lot more regulated. Announcing its most recent Regulatory Flex Agenda…

ESG investing is at the forefront of the industry and with ESG-related regulations coming soon, having a streamlined ESG strategy in place is key for building and retaining competitive advantages.

By Victoria Olson, CRCP, Senior Consultant Compliance Services Reading enforcement actions against investment advisers serves two purposes for me: (1)…

The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate sustainability risks into their investment management and…

Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirements, and adjust to new formats and content for preparing key investor documents (KIDs) by January 1, 2023.

With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a…