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Our subject matter experts understand your reporting challenges. Whether the focus is on a current regulatory change or a current process that can be simplified, Confluence whitepapers are written with the intent to provide information that fund administrators can use to do their jobs.


DataTech Whitepaper

At Confluence we have a strategic vision to instantaneously transform data into knowledge and deliver it to the world. Over the past decade we’ve seen this vision become a reality – prompted in large part by a regulatory focus on managing systemic risk following the Financial Crisis of 2008 and the resulting market downturn. The asset management industry is in the midst of a major evolution that we at Confluence are calling “DataTech”.

Published March 19, 2018

RegTech for Asset Managers: Unleashing the Pent-Up Demand to Automate

The regulatory shift toward heightened management of systemic risk has dramatically increased reporting obligations for asset managers in recent years. Requirements such as the EU's Alternative Investment Fund Managers Directive (AIFMD), U.S. Money Market Fund Reform and last year's SEC Investment Company Reporting Modernization Rule (SEC Mod) are all designed to give regulators the data necessary to provide deeper visibility into systemic risk.

Written by Confluence
Published February 15, 2017

The Decommission of POINT

About a year ago, we learned that Bloomberg was to buy Barclays Risk Analytics and Index Solutions (BRAIS), which used to provide benchmark and strategy indices, portfolio analytics, risk and
attribution models, and portfolio construction tools. As a result of that deal, the BRAIS intellectual property would be incorporated into PORT, Bloomberg's multi-asset portfolio risk and analytics tools, and Barclays's product, POINT, would be decommissioned.

Written by Confluence
Published January 18, 2017

RegTech: Bringing New Meaning to Compliance and Cloud Technology in Asset Management

The Evolution of the Compliance Function and Disruption of Data Usage with the Cloud

Over the past five years, increased regulation and regulatory reporting obligations have put compliance and regulatory teams in the spotlight a little more than they would like. At the same time, compliance failures, highlighted by regulatory scrutiny that lead to fines, have resulted in a huge surge in hiring and expansion of teams.

While additional headcount spreads out the work in the softer areas of research and managing regulatory change projects, it is potentially less effective in the process-driven areas of internal monitoring, compliance testing and overall reporting. These ar-eas are heavily reliant on having a robust and effective compliance program in place – one that includes a methodology that matches both the organisational structure of the team and their working practices.

Written by Confluence
Published November 9, 2016

SEC Modernization Readiness Guide

The Securities and Exchange Commission (SEC) released three major proposals in 2015 impacting mutual funds: Investment Company Reporting Modernization, Liquidity Risk Management and Use of Derivatives. All three are anticipated to move to final rule before the end of 2016, with full compliance following thereafter.

As a technology leader committed to solving the fund industry's growing global regulatory challenges, Confluence has developed this readiness guide to help the industry grasp the magnitude of the SEC Modernization challenge. This readiness guide provides an overview of the proposed rule and its challenges. It also provides practical guidance on how to prepare to comply with the requirements of Form N-PORT, Form N-CEN and amendments to Regulation S-X.

Written by Confluence
Published September 22, 2016

SEC Modernization: Partner with Confluence to Achieve Readiness

Confluence has prepared this one-page executive summary about Investment Company Reporting Modernization, or SEC Mod, as a quick reference to what it is, what tasks you need to include in your readiness plans and how Confluence can make achieving readiness far less painful.

As all of the following information and recommendations are based on the proposed rule and not the final rule, it is possible that there will be changes upon finalization by the SEC. Confluence will work quickly to update any information that may be affected by the final rule.

Written by Confluence
Published July 29, 2016

Meeting the AIFMD Transparency Reporting Challenge with Confidence

AIFMD is the most significant operational challenge ever for most alternative fund managers, with a new division of labour and responsibilities, specific limitations on how funds may conduct business, and new, highly detailed reporting of their investment strategies and holdings. These detailed reporting requirements are designed to provide EU regulators with a deeper understanding of alternative financial flows, the nature and sources of risk, where such risks are concentrated, and their implications in times of market stress. This white paper will discuss the scope and nature of the AIFMD transparency reporting requirements for fund managers and will describe various approaches for addressing them in a timely manner.

Written by Confluence
Published December 20, 2013

Five Drivers of the Cloud in Asset Management

This whitepaper details why financial services technology providers are turning to cloud as a delivery model that leverages both its inherent benefits -- business agility, flexibility, scalability and lower TCO – and one that most effectively meets the escalating globalization and mobilization needs of their asset management clients. Astute business leaders and their IT counterparts are embracing cloud as a strategic differentiator and one that provides a competitive advantage. Learn why, for asset management in particular, five market demands are driving SaaS adoption – lower TCO, increased scalability, globalization, greater agility and mobile demand.

Written by Chris Evans, Chief Architect and Product Manager of the Confluence install, hosted and SaaS platforms
Published April 29, 2013

Responding to Regulatory Change with Agility and Control

Partnering for Success in the Asset Management Back Office

This whitepaper details the increasing regulatory change within the financial services industry and how firms can partner to respond with agility. The paper examines the complex global landscape of financial services regulatory changes and the impact on reporting requirements. New regulations are coming at an unprecedented pace and financial institutions are under great pressure to not only understand and track the changes, but to also evaluate and implement regulatory compliance software solutions. Risk-aware institutions must be willing to invest in people and technology to help mitigate future risk. 

Written by Melvin Jayawardana, Confluence Product Manager responsible for leading our initiative to further expand our statutory and regulatory reporting platform globally
Published January 15, 2013

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