Embracing Equity and the Power of Awareness, Representation, and Community
Q&A with Kirsten Garrett, CHRO, Confluence With over two decades of human resources leadership experience, Kirsten Garrett is an accomplished......
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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CSS RegTech Radar
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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
mars 8, 2023
janvier 10, 2023CSS’s top 5 most popular insights of 2022
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....
décembre 19, 2022New SEC Risk Alert Puts Investment Advisers’ Identity Theft Policies Under the Microscope
Identity theft is on the rise, and the U.S. Securities and Exchange Commission has taken notice of weaknesses in registered investment advisers’ controls....
novembre 15, 2022ESG: As COP27 highlights climate urgency, notions of “sustainability” fracture
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......
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...
Videos
Compliance Solutions Strategies resource videos
Unpacking the Cybersecurity Rules and Impacts
Part 1 - Getting Ready for the PRIIPs KID Deadlines
Part 2 - Getting Ready for the PRIIPs KID Deadlines
Café & Regs
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:
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.
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.
IMpower Incorporating FundForum
27 - 28 June
The Grimaldi Forum, Monaco
Confluence is proud to sponsor this year's IMpower Incorporating FundForum conference on 27-28 June in Monaco.
Exchange ideas, inspiration and actionable solutions for your customer-growth strategy across next-gen distribution, operating models & investment solutions at Europe's leading investment management event.
Find out more
Exchange ideas, inspiration and actionable solutions for your customer-growth strategy across next-gen distribution, operating models & investment solutions at Europe's leading investment management event.
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
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...
septembre 20, 2022Webinar: 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 proposed Cybersecurity Risk Management Rules....
septembre 20, 2022Webinar: 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 Marketing Rule related topics......
août 1, 2022Webinar: 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 Product Manager, Confluence......
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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