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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 formally defined rules…

The SEC’s new Marketing Rule that came into effect last year expanded the definition of advertising. It allows for marketing via new channels and enhances existing disclosure requirements. It will have significant compliance impacts on advertising and cash solicitations for investment advisers registered with the SEC.

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.