Moderated by Jennifer Klass, Partner, Baker & McKenzie

ComplianceCasts ™

- juin 7, 202328 June, 2023Join our Webinar for an informative look at how to stay ahead of the composite...
- mai 29, 2023
Webinar: Fireside Chat with Natasha Vij Greiner and Peter B Driscoll
6 June, 2023Fireside Chat with Natasha Vij Greiner, Deputy Director and National Associate ... - avril 20, 2023
Webinar: It’s Not Too Early! Get Prepared Now for EMIR Refit
April 20, 2023The European Market Infrastructure Regulation (EMIR) Refit is designed to sim... - octobre 5, 2022
Webinar: Fireside Chat with Richard Best, Director, Division of Examinations, SEC
November 02, 2022Joined by: Peter Driscoll, Partner, PwC and Kristin Snyder, Partner, Debev... - septembre 20, 2022
Webinar: Unpacking the SEC Cybersecurity Rules and Impacts
September 20, 2022The U.S. Securities and Exchange Commission (SEC) has moved a step closer to adoption of its propos... - septembre 20, 2022
Webinar: Navigating the Road to SEC Compliance: SEC Marketing Rule
September 15, 2022The hour long webinar saw Confluence thought leadership and industry experts discuss a range of SEC... - août 1, 2022
Webinar: Charting a Path to SFDR and PRIIPs KID Deadlines
August 1, 2022On 13 July 2022, we hosted a panel discussion with industry leaders, moderated by Shane Flatman, Senior ... - mars 21, 2022
Dissecting the SEC’s Proposed Cyber Rules: Practical Takeaways
March 21, 2022New cybersecurity rules are on the horizon for investment advisers and investment companies......
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“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…
The U.S. Securities and Exchange Commission (SEC) has moved a step closer to adoption of its proposed Cybersecurity Risk Management Rules.
The hour long webinar saw Confluence thought leadership and industry experts discuss a range of SEC Marketing Rule related topics…
Date: October 17-19 Location: Baltimore, Maryland CSS is will be exhibiting at the 2022 NSCP National Conference on October 17-19…
By Jacqueline Hallihan, Co-Executive DirectorCompliance Services, Part of Confluence The Securities and Exchange Commission (SEC) is seeking public comment on…
• More than 80% of industry respondents — ESG ratings providers, users, and companies rated — favor EU regulatory intervention…
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.