Behind the Curtain – SEC’s Risk-Based Approach to Examinations
Authors: Alison Fraser, Director, Institutional & RIC Services, Confluence Kevin Renner, Consultant, Confluence The SEC Division of Examinations (“EXAMS”) issued......
Access Thought Leadership Resources & Expert Insights to Stay Ahead of Regulatory Change
CSS publishes a range of complimentary thought leadership content, RegTech resources and compliance commentary and analysis to help financial firms better understand and proactively react to changes in regulatory compliance around the world. This includes our proprietary industry research, exclusive insights and ComplianceCasts™ webinars.
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Our Latest Blog Articles
Insights to give you regulatory agility to help you better understand the complex compliance landscape
September 22, 2023
July 24, 2023Navigating the Next Market Downturn at TSAM London
Author: Aspasia Latsi, International Regulatory Analyst Now that the TSAM – the Summit for Asset Management in London – is......
July 3, 2023As pressures mount, SEC finalizing its rule for companies’ climate-related disclosures
Global scientific consensus and domestic political interests compete for its attention The SEC’s forthcoming Final Rule, requiring climate-related disclosures by......
May 11, 2023HEADS UP: SEC Division of Examinations Identifies Gaps and Signals Need for Main Office Policies and Procedures to be Applied at Branch Office Locations
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....
Videos
Compliance Solutions Strategies resource videos
Unpacking the Cybersecurity Rules and Impacts
It's Not Too Early! Get Prepared Now for EMIR Refit
Events
Join CSS for in-depth learning on the evolving regulatory compliance landscape
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 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.
Past 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.
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
Find out more
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
IMpower Incorporating FundForum
27 - 28 June
The Grimaldi Forum, Monaco
Confluence is proud to sponsor the #1 investment management event in the world.
Exchange ideas, inspiration and actionable solutions for your customer-growth strategy across next-gen distribution, operating models and investment solutions.
Meet our top executives, Mark Evans, Chief Executive Officer and Founder and Todd Moyer, President and Chief Operating Officer. Come visit us in the IMPower Media Lounge, sponsored by Confluence.
Find out more
Exchange ideas, inspiration and actionable solutions for your customer-growth strategy across next-gen distribution, operating models and investment solutions.
Meet our top executives, Mark Evans, Chief Executive Officer and Founder and Todd Moyer, President and Chief Operating Officer. Come visit us in the IMPower Media Lounge, sponsored by Confluence.
Best practice Composites - Staying ahead of the compliance curve
28 June
Webinar
Join our Webinar for an informative look at how to stay ahead of the composites compliance and regulatory curve
Register Here
ComplianceCasts™
Bringing world-class regulatory compliance webinars to the investment management community
Listen to expert discussions, roundtables and fireside chats on some of the most important and fast-emerging topics in regulatory compliance.
Our ComplianceCasts feature insights and analysis from current and former Chief Compliance Officers, regulatory guidance experts and compliance industry partners and collaborators from around the world.
Sign up for upcoming live sessions or watch on-demand.
Recent Webinars
June 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...
May 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...
April 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...
October 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...
How Do You Like Your Regs in the Morning?
Subscribe to CSS’s weekly Coffee & Regs podcast
Our weekly RegTech podcast features regulatory experts, former Chief Compliance Officers, industry partners and RegTech collaborators to help you prepare for changes on the regulatory horizon.
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Subscribe to Coffee & Regs on the platforms below.
December 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...
December 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...
December 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...
December 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, commentary and analysis on current and emerging regulations to help you stay ahead of regulatory change
Fund Reporting
- AIFMD Annex IV (Alternative Investment Fund Managers Directive)
- CPO-PQR
- CSSF UCITS Risk Report (U1.1)
- DCPT (Defined Contributions Pensions Template)
- Factsheets
- Form 13F
- Form 13H
- Form ADV
- Form N-CEN
- Form N-LIQUID
- Form N-MFP
- Form N-PORT
- Form 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
- Form 13F
- Form 13G
- Form 13H
- Form ADV
- Form BD, Form BR
- Form N-PORT
- Form 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
- EMIR
- 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)
- Form 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
- Form 13F
- Form 13G
- Form 13H
- Insider Restrictions
- Issuer Limits
- Mandatory Tender Offer
- MAR 0.5% Monitoring (Market Abuse Regulation)
- Position Limits
- Sensitive Industries
- Shareholding Disclosure
- SRD II
- Takeover Panels
Regulatory Guidance
A team of regulatory experts that manage CSS’s regulatory radar, scanning the horizon for regulatory change that will impact our clients
CSS’s in-house team of Regulatory Guidance experts know how to anticipate change and take a proactive approach to compliance. This team of experts is made up of former Chief Compliance Officers, regulators, regulatory attorneys, regulatory specialists and technical and data analysts, and have built our platform with the industry’s challenges in mind and help bridge the gap between the regulations and practical application.
CSS’s Regulatory Guidance experts:
- Contribute market-leading thought leadership and content to support our clients’ understanding of how regulation is being adopted in the market
- Provide practical support to clients when taking data from source systems to regulatory form
- Help clients work through undefined aspects of the regulations
- Offer guidance on interpretation of rules and insights into the industry’s approach
- Remain in touch with the regulator community to be one step ahead of regulatory change
Need Deeper Insights & Guidance?
Take the first step on your global regulatory compliance journey. A CSS regulatory expert will be in contact with you within the next business day.
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