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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 -
New $300 FINRA gift limit and clarifications to Rule 3220
FINRA’s amendments to Rule 3220 (Influencing or Rewarding Employees of Others) mark one of the most significant updates to the gifts and gratuities framework in decades. While the headline change—the increase in the annual gift limit from $100 to $300—has drawn attention, the more meaningful impact lies in FINRA’s clarification of expectations around valuation, aggregation, supervision, and […]
Apr 15, 20265 min readRead more -
Jan 27, 2026Read more
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Regulatory fines and the rising burden of compliance: How investment managers can stay ahead
In today’s global investment landscape, compliance is no longer just a checkbox exercise — it’s a critical factor in protecting firms from financial and reputational risk. Regulators are increasingly vigilant, and the consequences of reporting failures can be severe. From the BaFin €600,000 fine in Germany for voting rights disclosure lapses to scrutiny from the SECand the FCA, investment […]
Jan 26, 20263 min readRead more -
Transparency, enforcement, and what’s ahead
Introduction: Key regulatory themes to start 2026 As the industry enters 2026, regulators across major jurisdictions are moving from rulemaking to closer supervision, validation, and enforcement. Expectations around transparency, governance, data quality, and operational resilience are no longer theoretical—they are being tested in practice through examinations, supervisory reviews, and enforcement activity. This January edition of the RegTech […]
Jan 13, 20269 min readRead more -
Closing out 2025: A year of transition, transparency, and transformation
As 2025 draws to a close, the regulatory landscape for global asset managers has continued to evolve. From shifting disclosure regimes to heightened expectations on governance, liquidity, and transparency, this year has marked a notable turning point in how firms operate, report, and manage regulatory obligations. At Confluence® Technologies, we’ve followed the major developments closely—from the […]
Dec 10, 202511 min readRead more -
Dec 01, 2025Read more
