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......
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…
