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Confluence Clients Successfully Meet First Form N-PORT Filing Deadline
Confluence's Unity NXT Regulatory Reporting Solution Drives N-PORT Filing Success

May 31, 2019

Pittsburgh, PA, May 31, 2019 – Confluence, a global leader in investment data management automation for regulatory, financial and investor reporting, today announced that its clients with a May 30, 2019 Form N-PORT filing requirement1 have completed their filings with the SEC. Confluence’s clients represent fund administrators and asset managers servicing more than 75% of funds filing Form N-PORT, and they have met their Form N-PORT requirements using Unity NXT® Regulatory Reporting.

Confluence developed its Unity NXT Regulatory Reporting solution to ease the data management challenges and automate the filing processes for complex global regulatory reporting obligations including the SEC’s Form N-PORT and Form N-CEN. For Form N-PORT, Confluence worked closely with its clients to map source data to the form and successfully conduct test filings across its client base to prepare for this first filing. Confluence systems currently load more than 25 million data records per month, representing over 4,000 unique source file types for the over 9,000 funds using their solution for Form N-PORT.  

With Unity NXT Regulatory Reporting, clients can streamline their processes and reduce risk in a controlled system that facilitates collaboration, review and standardization while being provided an audit trail for external regulatory examinations and inquiries.

“Confluence’s Unity NXT Regulatory Reporting solution simplified and streamlined the first Form N-PORT filing for our clients,” commented Jon Gezotis, Head of North American Fund Services at Citi. “We partnered with Confluence to build an award-winning N-PORT service resulting in an effective model that assists our clients in efficiently meeting these new requirements.”

“We have had an amazing response from our clients as we worked together to meet this deadline,” said Gary Casagrande, VP of Global Market Strategy at Confluence. “We are so appreciative of our client relationships and are fortunate to be able to partner with them throughout the process of preparing for these new SEC reporting requirements. We are pleased to be the partner of choice for so many firms and pride ourselves on ensuring that our solutions evolve with the needs of the industry.”

1On February 27, 2019 the SEC modified the submission deadlines for registered investment companies filing non-public, monthly reports on Form N-PORT. Rather than requiring firms to file their reports 30-days after month end firms now have 60 days to do so. This moved the original filing deadline of April 30, 2019 to May 30, 2019. More information on this change can be found here.

About Confluence

Confluence is a global technology solutions provider delivering innovative products to the worldwide money management industry, to meet asset managers’ and service providers’ performance, reporting, analytics, risk and data needs. With the recent acquisition of StatPro, Confluence offers its clients a broader range of data-driven managed investment solutions including post-trade regulatory and shareholder reporting, performance and attribution, portfolio analytics, and asset data services and data management, delivering a full technology suite to the front, middle and back office. Headquartered in Pittsburgh, PA, Confluence serves the international fund industry with locations across Europe, North America, South Africa, Australia and Asia.

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