Resources featuring Kyrstin Ritsema, IACCP®

Transparency, enforcement, and what’s ahead

This January edition of the RegTech Report focuses on several themes shaping the early regulatory agenda for the year:

• the evolving UK shareholder disclosure landscape and what firms should be watching 
  in 2026;
• insights from global regulatory enforcement actions, highlighting where supervisory scrutiny continues to concentrate; and
• a forward-looking perspective on the U.S. regulatory environment, examining how governance, technology, and accountability expectations are converging.

We also highlight recent developments in the UK’s Consumer Composite Investments (CCI) regime, with a link to our full analysis published in December.

2026 U.S. regulatory outlook: From rulemaking to regulatory validation

Regulation in motion: Preparing for disclosure, oversight, and data-led supervision

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.

Global compliance moves in focus: From FCA signals to AI and beyond

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.

Fall focus: Business continuity plans

This month's report highlights the benefits of business continuity plans.

From AI audits to accelerated pace of regulatory change

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.

The Importance of an Annual Updating Amendment for Investment Advisors

Investment advisors have a crucial responsibility: maintaining transparency and compliance with regulatory standards. One key aspect of fulfilling this responsibility is filing an annual updating amendment of Form ADV with the Securities and Exchange Commission (SEC) or the state regulator for state-registered firms. This filing must be made within 90 days of the advisor’s fiscal […]

68% of financial firms say AI in risk and compliance is a top priority

The allure of artificial intelligence (AI) is undeniable. The financial services industry’s potential to streamline operations, enhance customer experiences, and unlock new revenue streams has sparked a “gold rush” mentality. According to KMPG, 68% of financial services firms say AI in risk management and compliance functions is their top priority. The rapid adoption of AI technology opens up exciting opportunities for chief compliance officers (CCOs) to enhance efficiency, risk management, and decision-making. By conducting a thorough AI assessment, they can confidently harness these advancements while effectively managing and reducing potential risks.

Big opportunities with thoughtful AI adoption

Surviving Form PF: What to expect and how to prepare with confidence

Confluence recently hosted a webinar, Prioritizing Form PF – Before It’s Too Late, where experts from Confluence and international law firm Mayer Brown explained the changes required for all filers, and especially large hedge funds advisors who will need to conduct a holistic review of their Form PF preparation processes efficiently and accurately. The webinar was […]

Form PF and AML compliance: key considerations

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.

Tech in transaction reporting: new ID rules and ESG changes

Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.