CSS was selected as a partner to help solve a client’s global fund reporting challenges. The asset manager had built......
As part of the asset manager’s initiative to review its target operating model and its strategic supplier landscape, CSS was......
CSS was selected as a long-term strategic partner to help solve a client’s global fund reporting challenges. The Tier 1......
The alternative credit manager focuses on alternative credit strategies and has $5+ billion in assets under management. The experienced Chief......
Position Limit Monitoring requires the regular sourcing of limits from exchanges and regulators to ensure that the most current limits......
The Securities and Exchange Commission (SEC) published a report on Cybersecurity and Resiliency Observations and several risk alerts in which......
XML Securities, LLC, a full-service broker-dealer and its affiliate investment advisor, XML Financial Group, were challenged to compile compliant and......
A global Tier 1 asset manager decided to take a more holistic approach to their regulatory reporting by moving from......
CSS was selected as the strategic partner to help a global Tier 1 investment manager move from a tactical to......
CSS awarded for its technology and service offerings which enable clients to take a proactive approach to cybersecurity risk management…
Combination Creates First Fully End-To-End Compliance Reporting Platform NEW YORK, September 10, 2020 – Compliance Solutions Strategies (“CSS”), a leading…
The platform solves unprecedented private fund data challenges while delivering accuracy and efficiency to the private fund industry. Pittsburgh, PA,…
Pittsburgh, PA, December 12, 2023 – Confluence Technologies, Inc. (“Confluence”), a global technology solutions provider helping the investment management industry solve complex…
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…
Hong Kong Exchanges and Clearing Limited (HKEX) announced yesterday that new enhancements to position limits will take effect on 22…
Greg Hotaling, Regulatory Content Manager at Confluence breaks down the new rule, offering clarity to a complex ruling.
The SEC adopted new Rule 13f-2 to provide greater transparency into Short-Selling. Rule 13f-2 will require institutional investment managers that…
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…
The SEC adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of…
Author: Todd Moyer, President and Chief Operating Officer, Confluence Predictions on the Asset Management Industry for 2024 Driven by the…
Authors: Alison Fraser, Director, Institutional & RIC Services, Confluence Kevin Renner, Consultant, Confluence The SEC Division of Examinations (“EXAMS”) issued…
