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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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…
Confluence announced today that its ESG solution is seeing significant industry adoption following the integration of capabilities through the successful acquisitions…
On 13 July 2022, we hosted a panel discussion with industry leaders, moderated by Shane Flatman, Senior Product Manager, Confluence…
The Hong Kong Exchanges and Clearing Limited (HKEX) published yesterday (28.07.2022) conclusions to its consultation on the revision of its…
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.
A consultation by the ISSB (the International Sustainability Standards Board, launched in November at the UN’s COP26), on corporate sustainability…
With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a…
Confluence announced today it has been ranked first in “Performance Attribution” at the 2022 Chartis RiskTech BuySide50 Awards.
To get a sense of possible regulations on the horizon, see ESMA’s recent statement on the outcome of its Call for Evidence issued in…
· Confidential treatment requests for Form 13F (via EDGAR) · Applications for orders under the Investment Advisers Act of 1940 (via EDGAR)…
The CFTC recently issued a Request for Information, asking the public how the CFTC should consider climate risk in its…
