June 13, 2023
Todd Moyer, Confluence’s President and Chief Operating Officer, was recently interviewed by Ignites about what Tailored Shareholder Reporting means to…
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June 7, 2023
28 June, 2023
Join our Webinar for an informative look at how to stay ahead of the composites compliance and regulatory curve
May 29, 2023
6 June, 2023
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
May 16, 2023
EJ Yerzak highlights the importance of cybersecurity in the financial industry and the SEC’s efforts to enhance oversight in this area.
May 11, 2023
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.
May 9, 2023
Greg Hotaling, Confluence’s Regulatory Compliance Manager, offers his insights into the U.N.’s IPCC Assessment Report, produced in March.
May 9, 2023
Current Reporting for Large Hedge Fund Advisers and Quarterly Event Reporting for All Private Equity Fund Advisers
April 24, 2023
Pittsburgh, PA, April 24, 2023 – Confluence Technologies, Inc. (“Confluence”), a global software provider helping the investment management industry…
April 20, 2023
April 20, 2023
The European Market Infrastructure Regulation (EMIR) Refit is designed to simplify European Markets infrastructure in harmonizing the data. Are you ready?
April 20, 2023
A steady increase in the threat that data breaches pose to individual investors has spurred the Securities and Exchange Commission to revisit the issue of safeguarding customer information.
March 29, 2023
Tom Pfister, Confluence’s Managing Director of Compliance, Regulatory and Reporting, speaks with Chris Hamblin, WealthBriefing, about how quickly regulatory technology…
March 22, 2023
Dena Hopkins, CIPM, Senior Analytics Consultant, Confluence, was recently featured in an article from Ignites on the SEC’s clarification on…