Reflecting on the biggest PRIIPs KID and UCITS KIID challenges
and getting ready for the next annual refresh With the Packaged Retail and Insurance-based Investment Products (PRIIPs) Key Information Document......
Accédez à des ressources de leadership éclairé et à des informations d'experts pour rester à l'avant-garde des changements réglementaires
CSS publie une gamme de contenus gratuits sur le leadership éclairé, des ressources RegTech et des commentaires et analyses de conformité pour aider les entreprises financières à mieux comprendre et réagir de manière proactive aux changements de conformité réglementaire dans le monde. Cela comprend notre recherche industrielle exclusive, nos analyses exclusives et nos webinaires ComplianceCasts ™.
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Regulatory Guidance
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Regulations
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Videos
LIRE LA SUITENos derniers articles de blog
Des informations pour vous donner une agilité réglementaire pour vous aider à mieux comprendre le paysage complexe de la conformité
décembre 7, 2023
décembre 6, 2023The new SEC Short selling rule will keep us occupied for quite some time
Much ink has lately been spilled over the new Short Sale reporting rule in the U.S. New Rule 13f-2 was......
octobre 31, 2023How are investors impacted by the modernization of the Beneficial Ownership reporting in the US?
The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in......
octobre 24, 2023Takeaways from the SEC’s New Private Fund Adviser Rules – Build and Plan for Successful Implementation
Authors: John Gentile, Director, Private Fund Services, Confluence Armando DeChalus, Regulatory Compliance Analyst, Confluence The private fund regulatory landscape just......
Videos
Compliance Solutions Strategies resource videos
Coffee & Regs TV - When Opposites Attract Valentine’s Day and Eligible 13G Filers Video
Unpacking the Cybersecurity Rules and Impacts
It's Not Too Early! Get Prepared Now for EMIR Refit
Coffee and Regs - ESG Data Challenges in the EU
Coffee & Regs TV - GTR 2022 Predictions
Regulatory Reporting NextGen
Coffee & Regs TV - Compliance Trends to Watch in 2022
Events
Rejoignez CSS pour un apprentissage approfondi sur le paysage en constante évolution de la conformité réglementaire
We are exploring new venues and channels to bring the very best conference experience and learning to compliance professionals around the world. In the meantime, stay on top of what’s happening in regulatory compliance in real-time by subscribing to our podcast and blog or watching our upcoming live or on-demand ComplianceCasts.
Upcoming Events:
Past Events:
2023 Tax and Accounting Conference
September 17–20
San Antonio, Texas
Confluence is proud to sponsor this year's ICI Tax and Accounting Conference
from September 17-20 in San Antonio, Texas. Learn how the latest tax and accounting issues affect facets of the asset management industry, network with other industry professionals, and earn CPE credit.
Find out more
from September 17-20 in San Antonio, Texas. Learn how the latest tax and accounting issues affect facets of the asset management industry, network with other industry professionals, and earn CPE credit.
2023 NSCP NATIONAL CONFERENCE
October 16–18
Omni Dallas, Texas
Confluence is proud to sponsor the 2023 NSCP National Conference from October 16-18 in Dallas, Texas.
The only conference that’s “For Compliance, By Compliance”, the NSCP National Conference offers the ability to connect and focus on the practical solutions to empower yourself and your compliance program.
Find out more
The only conference that’s “For Compliance, By Compliance”, the NSCP National Conference offers the ability to connect and focus on the practical solutions to empower yourself and your compliance program.
2023 Investment Management Conference
March 19 - 22
Palm Desert, CA
Confluence is proud to sponsor this year's ICI Investment Management Conference on March 19-22 in Palm Desert, CA.
IMC is the premier opportunity to engage with colleagues and hear directly from regulators and other experts about the issues facing asset managers today.
Find out more
IMC is the premier opportunity to engage with colleagues and hear directly from regulators and other experts about the issues facing asset managers today.
Irish Funds Annual Global Funds Conference 2023
18 May
The Dublin Royal Convention
Confluence is proud to sponsor the 2023 Irish Funds Annual Global Funds Conference on 18 May in Dublin.
This year's conference will focus on the core themes of Trust, Capability and Innovation, three fundamental pillars on which the funds industry in Ireland has been built.
The agenda will include thought-provoking and informative presentations, keynote talks and panel discussions from internationally respected industry experts, while a full day of networking opportunities will run alongside the agenda in the exhibition area.
Find out more
This year's conference will focus on the core themes of Trust, Capability and Innovation, three fundamental pillars on which the funds industry in Ireland has been built.
The agenda will include thought-provoking and informative presentations, keynote talks and panel discussions from internationally respected industry experts, while a full day of networking opportunities will run alongside the agenda in the exhibition area.
PRIIPs Transition: Learnings and Takeaways
May 24, 2023
Webinar
With the PRIIPs KID transition complete and the industry looking forward, we should take some time to reflect on the move from UCITS KIID to PRIIPs KID overall.
Find out more
TradePMR Synergy
May 31 - June 2
Tampa, FL
CSS is proud to sponsor the TradePMR Synergy 2023 from May 31-June 2 in Tampa, Florida.
TradePMR Synergy brings the industry together to help advisors accelerate growth, accelerate success, accelerate into tomorrow.
Find out more
TradePMR Synergy brings the industry together to help advisors accelerate growth, accelerate success, accelerate into tomorrow.
WEBINAR: Fireside Chat with Natasha Vij Greiner and Peter B Driscoll
6 June
Webinar
Fireside Chat with Natasha Vij Greiner, Deputy Director and National Associate Director for the Investment Adviser/Investment Company Examination Program, SEC Division of Exams and Peter B Driscoll, Partner, PC
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Confluence Global Shareholder Disclosure Forum
6 June
The Montcalm Royal London House
Join the Confluence team, along with industry experts, for an afternoon filled with content from the best in the business! You'll gain insights into the latest and upcoming shareholder disclosure developments worldwide.
Find out more
ComplianceCasts ™
Offrir des webinaires de classe mondiale sur la conformité réglementaire à la communauté de la gestion des investissements
Écoutez des discussions d'experts, des tables rondes et des discussions au coin du feu sur certains des sujets les plus importants et les plus émergents en matière de conformité réglementaire.
Nos ComplianceCasts présentent des informations et des analyses de la part des directeurs actuels et anciens de la conformité, des experts en conseils réglementaires et des partenaires et collaborateurs de l'industrie de la conformité du monde entier.
Inscrivez-vous aux prochaines sessions en direct ou regardez à la demande.
Recent Webinars
juin 7, 2023Webinar: Best practice Composites – Staying ahead of the compliance curve
28 June, 2023Join our Webinar for an informative look at how to stay ahead of the composites compliance and regulatory curve...
mai 29, 2023Webinar: Fireside Chat with Natasha Vij Greiner and Peter B Driscoll
6 June, 2023Fireside Chat with Natasha Vij Greiner, Deputy Director and National Associate Director for the Investment Adviser/Investment Com...
avril 20, 2023Webinar: It’s Not Too Early! Get Prepared Now for EMIR Refit
April 20, 2023The European Market Infrastructure Regulation (EMIR) Refit is designed to simplify European Markets infrastructure in harmonizi...
octobre 5, 2022Webinar: Fireside Chat with Richard Best, Director, Division of Examinations, SEC
November 02, 2022Joined by: Peter Driscoll, Partner, PwC and Kristin Snyder, Partner, Debevoise & Plimpton (formerly SEC Examinations). Mode...
Comment aimez-vous vos règlements le matin?
Abonnez-vous au podcast hebdomadaire Coffee & Regs de CSS
Notre podcast hebdomadaire RegTech présente des experts en réglementation, d'anciens directeurs de la conformité, des partenaires de l'industrie et des collaborateurs RegTech pour vous aider à vous préparer aux changements à l'horizon réglementaire.
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Abonnez-vous à Coffee & Regs sur les plateformes ci-dessous.
décembre 27, 2021Investment Monitoring Rewind & 2022 Preview
In this episode, CSS’s Regulatory Content Manager Greg Hotaling and Product Manager Mike Marmo recap the world of investment monitoring...
décembre 20, 2021Evolutionary Changes in Regulatory Compliance in 2022
In this episode, CSS’s SVP of Business Development Ashley Smith takes a trip around the world to discuss evolutionary changes...
décembre 13, 2021Trends in Transaction Reporting in 2022
In this episode, CSS’s Transaction Reporting product team of Alexis Wiazmitinoff and Nicklas Nilsson make predictions on trends in transaction reporting...
décembre 6, 2021The Perfect Storm – PRIIPs and SFDR in 2022
In this episode, CSS’s Chief Product Officer Ronan Brennan makes predictions for PRIIPs and how the regulatory landscape in 2022...
Regulations
Expertise, commentaires et analyses sur les réglementations actuelles et émergentes pour vous aider à garder une longueur d'avance sur les changements réglementaires
Fund Reporting
- AIFMD Annex IV (Alternative Investment Fund Managers Directive)
- CPO-PQR
- CSSF UCITS Risk Report (U1.1)
- DCPT (Defined Contributions Pensions Template)
- Factsheets
- Formule 13F
- Form 13H
- Formulaire ADV
- Formulaire N-CEN
- Form N-LIQUID
- Form N-MFP
- Formulaire N-PORT
- Formulaire PF
- FVPT (Fair Value Mid Price Template)
- GroMiKV
- IDWG (Institutional Data Working Group) Template
- J402 (Dutch Pension – Cost Reporting)
- LGPS (Local Government Pension Scheme) Template
- MiFID II: Costs and Charges
- MiFID II: EMT/EFT (Product Governance / Target Market) – inc. Transaction Cost Calculation
- MiFID II: TCA (Transaction Cost Analysis)
- MMFR Article 37
- NFA (National Futures Association) Annual Report
- OPERA / Open Protocol
- PRIIPs EPT/CEPT – including Tranaction Cost Calculation
- PRIIPs KID
- Prospectuses
- RG97 (Australian Superannuaction – cost calculation)
- Solvency II (TPT / SCR)
- TFC-1
- TFC-2
- TFC-3
- TIC Form BC
- TIC Form BL-1
- TIC Form BL-2
- TIC Form BQ-1
- TIC Form BQ-2
- TIC Form BQ-3
- TIC Form CQ-1
- TIC Form CQ-2
- TIC Form S
- TIC Form SHC/SHCA
- TIC Form SHL/SHLA
- TIC Form SLT
- UCITS KIID
- VAG
Compliance Services
- California Consumer Privacy Act (CCPA)
- Commodity Exchange Act; Commodity Futures (NFA) CFTA
- Compliance Program Development and Annual Compliance Program Reviews: IC Act Rule 38a-1
- CPO-PQR
- Data Classification
- ERISA (Employee Retirement Income Security Act)
- FBAR (Report of Foreign Bank and Financial Accounts)
- Form 13D
- Formule 13F
- Form 13G
- Form 13H
- Formulaire ADV
- Form BD, Form BR
- Formulaire N-PORT
- Formulaire PF
- Form U4/U5 Filings
- GDPR (General Data Protection Regulation) – attestations only
- IA and B-D Registration with FINRA/SEC/States
- IC Act Section 17: Prohibited Transactions
- KYC / AML (Know Your Customer / Anti-Money Laundering
- Massachusetts Privacy Regulations (Encryption)
- MSRB Rules
- National Institute of Standards and Technology (NIST) Framework
- NYDFS Cybersecurity Regulation
- Regulation Best Interest (Reg BI)
- State IA, BD, and PF Regulations: 50 States (privacy issues, regulations, senior client policies, etc.)
- Supervisory Rules: Business Practices
- Supervisory System Compliance Program Development and Annual Supervisory System Control Review: FINRA Rules 3110 and 3120
- U.S. Marketing Regulations: Rule 206(4)-1 of IA Act and FINRA Rule 2210
- US Treasury Dept AML Reviews
- Fair Valuation Rule 2(a)(41) of IC Act
Transaction Reporting
- ÉMIR
- EMIR-UK
- MiFID II: MiFIR (Art. 26)
- MiFID II: Position Limits (Art. 58)
- MiFIR-UK MiFID Art 26 (UK)
- MoneyMarket Statistical Reporting (MMSR)
- SFTR (Securities Financing Transaction Regulation)
- SFTR-UK
Compliance Management
- Best Execution: TCA (Transaction Cost Analysis)
- Books and Records: Rule 204-2 of IA Act; Securities Exchange Act 17a-3 and 17a-4
- Branch Office Reviews
- Code-of-Ethics (Rule 204A-1)/ Personal Account Dealing / Conflicts of Interest / Gifts & Entertainment
- Compliance Program Development and Annual Compliance Program Reviews: IA Act Rule 206(4)-7
- Custody: Rule 206(4)-2 of IA Act
- Due Diligence Reviews (e.g., sub-advisers, vendors, firm acquisitions)
- Formulaire CRS
- Insider Trading: Section 204 of IA Act; Section 15(f) of Securities Exhange Act
- Investment Advisors Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, Investment Company Act of 1940
- Market Abuse – general (not specifically EU MAR)
- Principal/Agency Cross/Cross Transactions: IA Act Section 206(3) and Rule 206(3)-2
- Rule 204A-1
- Fair and Equitable Trading
- Portfolio Pumping/Window Dressing/Volume Analysis
- Short-Term Trading/Trade Error Detection
Investment Monitoring
- EU Short Selling Regulation
- EU Transparency Directive
- Form 13D
- Formule 13F
- Form 13G
- Form 13H
- Insider Restrictions
- Issuer Limits
- Mandatory Tender Offer
- MAR 0.5% Monitoring (Market Abuse Regulation)
- Limites de position
- Industries sensibles
- Divulgation de l'actionnariat
- SRD II
- Takeover Panels
Regulatory Guidance
Une équipe d'experts réglementaires qui gèrent le radar réglementaire de la CSS, scrutant l'horizon des changements réglementaires qui auront un impact sur nos clients
L'équipe interne de CSS d'experts en orientation réglementaire sait anticiper les changements et adopter une approche proactive de la conformité. Cette équipe d'experts est composée d'anciens directeurs de la conformité, de régulateurs, d'avocats en réglementation, de spécialistes de la réglementation et d'analystes techniques et de données.Elle a construit notre plate-forme en tenant compte des défis du secteur et aide à combler le fossé entre la réglementation et l'application pratique.
Experts de l'orientation réglementaire de la CSS:
- Contribuer à un leadership éclairé et à un contenu de pointe pour aider nos clients à comprendre comment la réglementation est adoptée sur le marché
- Fournir un soutien pratique aux clients lors de la prise de données des systèmes sources vers un formulaire réglementaire
- Aider les clients à traiter les aspects non définis de la réglementation
- Offrir des conseils sur l'interprétation des règles et des informations sur l'approche de l'industrie
- Restez en contact avec la communauté des régulateurs pour avoir une longueur d'avance sur les changements réglementaires
Besoin d'informations et de conseils plus approfondis?
Faites le premier pas dans votre parcours de conformité réglementaire mondiale. Un expert réglementaire CSS sera en contact avec vous dans le jour ouvrable suivant.
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