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SEC increases qualified client thresholds for performance fees
The SEC issued an Order (Release No. IA-6961) on April 28, 2026, increasing the qualified client thresholds under Rule 205-3 of the Advisers Act. These thresholds determine whether an SEC-registered investment adviser may charge performance-based fees. The new thresholds became effective June 29, 2026 and reflect the SEC’s required five-year inflation adjustment under the Dodd-Frank […]
Jul 30, 20262 min readRead more -
Preparing for what’s next in UK Retail Disclosures
An asset manager's guide to the new Consumer Composite Investments (CCI) framework.
Jun 04, 202610 min readRead more -
ESMA’s funds reporting revolution: what asset managers need to know
For investment funds in Europe, the next three to five years will fundamentally reshape the supervisory reporting framework. ESMA’s final report on the integrated collection of funds’ data, published 4th May 2026, sets out the vision for a single, EU-wide framework, covering all UCITS, AIFs, and money market funds. The goal is “report once, use […]
May 28, 20265 min readRead more -
What does it mean to have an outsourced CCO?
More RIAs are turning to outsourced CCOs to manage their compliance programs. But the arrangement only works if roles, responsibilities, and accountability are clearly defined.
May 22, 2026Read more -
Navigating 2026 shareholder disclosure reforms
Shareholder disclosure rules are changing — and the pace of reform shows no sign of slowing.
May 06, 2026Read more -
CCI product summary template overview
Lewis Davison from Confluence will take you through the key design principles and elements of our CCI product summary template.
Apr 17, 2026Read more -
Reg SP compliance countdown: key steps before June 3
Watch the March After the Alert with Doug Preveza.
Apr 15, 2026Read more -
The Reg S-P compliance deadline is right around the corner
The SEC's 2024 amendments to Regulation S-P take effect June 3 for smaller firms. If your incident response plan, written information security program, & vendor oversight aren't in place, this is now urgent and the time to act is now
Apr 15, 2026Read more -
Testing, testing – CCI and the Consumer Duty
Intro The introduction of the UK Consumer Composite Investments (CCI) framework via PS25/20 represents a step-change in the design and delivery of fund disclosures. Gone are the rigid, regulatory-prescribed formats of old, in favour of a more flexible approach enabling asset managers, insurers and other in-scope product manufacturers to better tailor information delivery to end […]
Apr 15, 20265 min readRead more