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...
You may unsubscribe at anytime with our simple “unsubscribe” link at the bottom of each communication. Please see our privacy notices below for further information, including a list of affiliates covered by this consent.
As a follow up to our Coffee & Regs Podcast episode found here, we wanted to advise RIA that the…
On November 9, 2021, the SEC’s Division of Examinations (“EXAMS”) issued a risk alert (the “Alert”) based upon recent examinations…
Important ESG news for EU market participants: The European Commission, by letter to the EU Parliament and Council, has delayed…
On 22 November 2021, ESMA published its Final Report on its draft RTS relating to commodity derivatives under the MiFID…
On November 4, 2021, the SEC released a rule proposal that would modernize certain filings submitted via the Electronic Data…
In case you have not heard the news, Chair Gensler is focused on private fund advisers. The numbers may give…
Combination will establish a leading investment management software platform of unmatched global coverage Pittsburgh, PA, November 9, 2021 – Confluence Technologies,…
On Monday, October 25, 2021, the Department of Labor (DOL) issued Field Assistance Bulletin No. 2021-02 that covers compensating advisers…
Partnership brings a unique combination of local market presence and global regulatory compliance coverage to South Africa and Sub-Saharan Africa…
ESMA has recently published a document outlining updated validation rules for MiFIR Transaction Reporting. The changes are applicable from Q2…
Good news from the FCA Policy Statement where it was confirmed the proposed effective date for the proposed UK PRIIPs…
The FinDatEx TWG (Technical Working Group) for PRIIPs has published the proposed changes to the EPT template to account for…
