News Categories: In the news
Improved risk measurement in private markets: The path to investor confidence
Investment reporting has always focused on returns. Because of this, there’s a critical blind spot: risk. When money is flowing, the investment industry tends to look the other way on risk. Returns are easy for humans to understand – risk is difficult. However, pressure is growing for firms to better understand and communicate the risks […]
Regulatory crossroads: What increasing divergence means for investment funds
Lewis Davison, VP of Product considers the drivers of divergence between Washington, Brussels and London. Regulatory policy has never been in complete alignment, despite the longstanding Transatlantic alliance. A series of policy decisions this year, especially from the new American administration, means the gulf between the philosophies and practice of regulation is growing wider. This […]
GenAI is changing the game for asset managers in the alternatives space.
From wrangling fragmented data to orchestrating complex workflows, AI is no longer just a tool—it’s becoming the backbone of modern investment operations. Laurent Louvrier, Vice President of Product, Artificial Intelligence at Confluence, breaks down how GenAI is transforming data pipelines, enabling adaptive ETL, and introducing agentic AI that learns and evolves. With rising regulatory demands […]
Mandates on AI projects tighten as asset managers focus on ROI and efficiency
Laurent Louvrier, VP of Product for Artificial Intelligence at Confluence, examines how domain-specific, off-the-shelf AI tools are gaining traction as companies seek quicker implementation and reduced development costs.
UK updates CCI regulations in new consultation
The UK regulator has updated its thoughts about investments where the returns are linked to the performance of underlying, indirect investments, such as funds or structured products. Lewis Davison explains the significance in this article with Wealth Briefing.
FCA CCI framework – A step backwards for investment companies?
Lewis Davison, Senior Product Manager and William MacLeod, Managing Director at Gravis discuss FCA’s recent CCI consultation, which closed on 20 March 2025, that raises serious concerns with respect to its approach to cost disclosure.
Flexible retail disclosure has positives, but CCI framework comes with ‘dangerous quirk’
Lewis Davison , Senor Product Manager, explores some of the nuances around the FCA’s new retail disclosure framework with Christian Mayes at Portfolio Adivser.
Lewis Davison | SFDR: A year of anticipated changes and improvements
Lewis Davison, Senior Product Manager at Confluence shares his insights with Institutional Asset Manager on the European Union’s Sustainable Finance Disclosure Regulation (SFDR), and the challenges that lay ahead.
Lewis Davison – FCA’s CCI framework in the FT Adviser
The Financial Conduct Authority recently published its greatly anticipated consultation on the consumer composite investments (CCI) framework; a proposal that promises to significantly overhaul the current landscape of retail investment disclosure.
The Drawdown
Damian Handzy, Managing Director, Confluence Analytics, was quoted in this article by The Drawdown about adherence to the GIPS® standard in private equity, and how it might help the industry with its perceived lack of transparency.
SEC’s short sale reporting rule comes up short
Aspasia Latsi, Regulatory Analyst at Confluence, was recently quoted in FinOps Report, discussing the breadth of 13f-2 reporting, and the urgency of complying.
Running before they can walk: managing compliance in the AI era
Kyrstin Ritsema, Executive Director of Confluence Compliance Services, shares best practices for thoughtful AI adoption in WealthBriefing.
International equities are ‘lower-hanging fruit’ as pensions chop equities holdings
As pensions seek to decrease risk by slashing their equities allocations and buying up fixed income assets, international equities, which have tended to underperform other stocks in recent years, are taking the biggest hit, industry watchers say. Radhika Narang, Client Success Specialist at Confluence, leaves her comments on the outflows of international equities.
Outlook 2024: Todd Moyer, Confluence
What trends are getting underway that people may not know about but will be important? The new SEC Private Fund Rule will start to have an impact in 2024.We will see more visibly the convergence of private and public markets that some have predicted. As private funds come under scrutiny, their current risk and regulatory […]
Confluence creates private funds reporting platform
Todd Moyer, President and Chief Operating Officer at Confluence, shares the Confluence solution to the new reporting requirements for Private Funds due to the SEC’s Private Fund Rules.
Climate rule had ‘No Chance in Court’ sans materiality: Ex-SEC exec
Greg Hotaling, regulatory content manager at Confluence, provides his input on the SEC’s final climate disclosure rule in this FundFire article.
Should outsourced chief investment officers (OCIOs) comply with the new GIPS standards?
Navigating the evolving landscape of Outsourced Chief Investment Officers (OCIOs) within the realm of the Global Investment Performance Standards (GIPS) is a pertinent concern in the financial sphere…
Northern trust launches market risk monitor
Northern Trust Asset Servicing announced the launch of their new Market Risk Monitor Solution today, which utilizes Confluence’s RiskAPI solution to generate insights into the market risk profile of a clients’ assets and liabilities. We are honoured to be selected by Northern Trust to help them solve clients’ complex investment challenges. By leveraging our RiskAPI, […]
Raconteur: Credit Suisse and SVB crises spur firms to rethink their approach to risk
Damian Handzy, Confluence’s Managing Director, Performance, Risk, and Analytics is featured in a new article from Raconteur, offering his thoughts on how firms should re-think risk management in the wake of Credit Suisse and Silicon Valley Bank’s failures.
Institutional asset manager: Investment metrics reports strong investor preference for ESG products
The latest Institutional Net Flows Report from Investment Metrics, a Confluence company, is the focus of a new article from Institutional Asset Manager, detailing how inflows to ESG investment products may force doubters to climb aboard the sustainable finance bandwagon.
Traders Magazine: Buy Side Firms Face Reconciliation Challenges
Todd Moyer, Confluence’s President and Chief Operating Officer, recently sat down with Traders Magazine to discuss data and reconciliation challenges buy side firms face and how AI may be the solution to these challenges and more.
WatersTechnology: Confluence Technologies looks to AI for reconciliation challenges
Confluence’s President and COO, Todd Moyer, and CTO, Chris Evans, recently spoke with WatersTechnology on the announcement of our new solution, Unity Rex, which leverages AI to solve challenges stemming from the Securities and Exchange Commission’s (SEC’s) Tailored Shareholder Reports (TSRs).
FT Adviser: ‘The balance between regulatory oversight and free enterprise has tipped towards regulation’
Greg Hotaling, Regulatory Compliance Manager at Confluence, provides insights and actions as firms look to build their “regulatory house”.
Ignites: eating their own cooking? More PM data should be public
This article focuses on the level of detail required in open-end vs. closed-end fund reporting. Scott Treacy, research consultant at Confluence, shares his thoughts on the level of detail the SEC should require for open-end fund reporting and the level of urgency it holds in comparison to other regulatory issues.
Standard disclosures make compliance easier: Confluence
Clear rules for standard disclosures make compliance easier for ESG and private funds, said Todd Moyer, president and chief operating officer of Confluence.
Traders Magazine: Broker-Dealers Urged to Review Policies to Stay Compliant
Matt Calabro, Executive Director of Compliance Services at Confluence, highlights the importance of firms reviewing their policies and procedures on record retention.
FundFire: Acera Sets Timeline for International Equities Revamp, Manager Terminations
The latest Factor Performance Report from Investment Metrics, a Confluence company, is featured in a new article from FundFire, covering Acera’s recent restructuring of their international equities portfolio.
Fund’s Europe
Tom Pfister, Confluence’s Managing Director of Compliance, Regulatory and Reporting, provides insight on the SEC’s climate-related disclosures.
Chief Investment Officer: Largest Corporate Plans Hit Highest Funded Status Since 2007, Despite 2022 Investment Losses
The latest Plan Universe Allocation & Return Analysis report from Investment Metrics, A Confluence company, has been featured in a new article from Chief Investment Officer, which details how large corporate plans increased funded stats despite asset losses.
Traders Magazine: Industry Insights: Preparing for the SEC’s Climate Proposals
Greg Hotaling, Confluence’s Regulatory Compliance Manager, offers his insights into the U.N.’s IPCC Assessment Report, produced in March.
InvestmentNews: SEC steps up intensity of cybersecurity oversight
EJ Yerzak, Director of Cybersecurity Services at Confluence, highlights the importance of cybersecurity in the financial industry and the SEC’s efforts to enhance oversight in this area.
Thomson Reuters: ESG reporting for financial institutions: What is in store for 2023?
As world leaders gather for the United Nations Framework Convention on Climate Change’s (UNFCCC) annual conference — this year COP27, held in Egypt from November 6-18 with about 100 heads of state in attendance — the financial sector is busily preparing for detailed environmental, social and governance (ESG) reporting in the European Union as well […]
Institutional Investor: this factor made a roaring comeback in 2023
The latest Factor Performance report from Investment Metrics, a Confluence company, is featured in a new article from Institutional Investor, which details how highly volatile stocks made a sharp comeback in February.
Money Marketing: ESG becomes a political battleground in the US
Enthusiasm for ESG in the US is markedly less than in Europe, with certain states dismissive of ‘whimsical notions of a utopian tomorrow’. Environmental, social and governance (ESG) metrics in the US have never been as established as they are within Europe. Confluence’s Managing director – Performance, Risk and Analytics, Damian Handzy is featured in […]
Citywire: This is what SFDR should have done. Investors back UK regulator’s greenwashing rules
Just as investors thought they had their heads around European green funds rules, the UK’s FCA has revealed the proposals for its own sustainability disclosure regime. Confluence’s Regulatory Content Manager, Greg Hotaling, offers his thoughts on how the UK proposal differs from the EU rules and how the proposal could shape better outcomes for clients […]
Chief investment officer: Largest corporate plans hit highest funded status since 2007, despite 2022 investment losses
The latest Plan Universe Allocation & Return Analysis report from Investment Metrics, A Confluence company, has been featured in a new article from Chief Investment Officer, which details how large corporate plans increased funded stats despite asset losses.
Defined benefit plans posted worst performance since 2008 crisis last year
The latest Plan Universe Allocation & Return Analysis report from Investment Metrics, A Confluence company, is the focus of a new article from Plan Sponsor, which offers insight into defined benefit plans’ poor performance in 2022.
Institutional investor: As active funds struggle to outperform, fee declines get worse
The latest Fee Analyzer Report from Investment Metrics, a Confluence Company, is the focus of a new article from Institutional Investor, which provides commentary on the report, details how managers of U.S. large value stocks beat benchmarks by the widest margin in 2022, while U.S. fixed-income managers barely stayed ahead of indexes, and more.
Institutional Investor: small-caps have priced in a potential recession
Brendan Cooper, Head of Client Consulting & Research at Investment Metrics, a Confluence company, is featured in a new article from Institutional Investor, offering his thoughts on how small-cap stocks are positioned well amid economic uncertainty.
Wealth professional: Active management fees continue to drop after underwhelming 2022
The latest Fee Analyzer Report from Investment Metrics, a Confluence Company, is the focus of a new article from Wealth Professional, which details how post-negotiated fees for active managers decreased in most categories last year, including non-U.S. fixed income, U.S. fixed income, and emerging markets equities – a clear indication that active management fees continue to […]
Portfolio Adviser: is the dominance of growth stocks a case of style over substance?
The latest Factor Performance Report from Style Analytics, part of Confluence, is featured in a new article from Portfolio Adviser, which analyzes the outperformance of growth stocks over their value counterparts while also questioning whether either are truly the key drivers of returns this year.
Ignites: tailored reports will better protect investors: Confluence
Todd Moyer, Confluence’s President and Chief Operating Officer, was recently interviewed by Ignites about what Tailored Shareholder Reporting means to the industry and how increasing investor protection was the impetus for the rule.
Pension and investments: Percentage of female-led actively managed portfolios remained stagnant in 2022, study says
The latest article from Investment Metrics, a Confluence company, on women portfolio managers and their underrepresentation in the industry is the focus of a write up from Pension and Investments, using data from our report to highlight the lack of equity in the portfolio management arena.
Investment week: The importance of effectively integrating ESG
Damian Handzy, Confluence’s Managing Director, Performance, Analytics, and Risk, has published a new piece for Investment Week, focusing on the importance of effectively integrating ESG into firms’ overall strategies and the role technology plays during the integration process.
Traders magazine: SEC’s ESG proposals could push data spending
Matt Calabro, Confluence’s Executive Director – Compliance Services, is featured in a new article from Traders Magazine, offering his thoughts on the SEC’s proposed ESG-focused rules and how they could affect funds’ overall costs.
The banker: The silicon valley bank collapse and credit suisse’s last minute lifeline
Damian Handzy, Confluence’s Managing Director, Performance, Risk, and Analytics, is featured in a new article from The Banker, where he offers his thoughts on SVB’s failure, the US governments response, and how it could affect markets worldwide.
Investment Week: FCA and EU greenwashing regulations: Key differences
Last month the Financial Conduct Authority (FCA) proposed a new set of rules to clamp down on greenwashing by UK-based funds and portfolio managers. Greg Hotaling, Regulatory Content Manager, Confluence, reflects on the proposal and its differences with current EU regulation in an article for Investment Week.
A-Team Insight: Liquidity Risk Spotlight: Increased Regulatory Scrutiny is Our Biggest Threat
Inflation and interest rate spikes, the likes of which we haven’t seen in a generation, can cause serious market dislocations and liquidity crunches. Damian Handzy, Confluence’s Managing Director – Performance, Analytics & Risk, has a new blog post on A-Team Insight that discusses how one could argue the long-term impact of regulation is positive, but […]
Professional Adviser: Firms urged to engage with ‘huge opportunity’ PRIIPs consultation
On 9 December the UK government announced it would repeal the European Union’s packaged retail and insurance-based investment products (PRIIPs) regulation as a “matter of priority”. It launched a consultation to seek views on an alternative framework for the disclosure with the FCA at the helm. Shane Flatman, Confluence’s Senior Product Manager – Compliance, Reporting […]
Markets Media – ESG Strategy: Think Regulation, Data, and Budget
In the absence of ESG regulations, investment managers have latitude to define relevant ESG factors when marketing their strategies. Such lack of standards can lead to “greenwashing “- or making claims that a strategy is more sustainable than it is. But the end of that era may be coming soon
Ignites: SEC clarifies performance disclosure questions
Dena Hopkins, CIPM, Senior Analytics Consultant, Confluence, was recently featured in an article from Ignites on the SEC’s clarification on performance disclosures, offering her thoughts on the clarification and what it means for firms.
ESG clarity: Time to place ESG ‘underperformance’ in context
Newton’s Third Law of Motion states that for every action there is an equal and opposite reaction. Investing in investments that have sustainability criteria has accelerated in the past decade – there’s now more than $4trn in total global assets. With this massive capital transfer into ESG investments, there’s been an increasing backlash to the […]
Asset servicing times: Shareholder rights panel
Greg Hotaling, Confluence’s Regulatory Content Manager, is featured in the latest issue of Asset Servicing Times, providing his insights on recent developments in the shareholder rights sphere.
Money marketing: Style rotation is chance for value stocks to show their ESG credentials
Damian Handzy, Confluence’s Managing Director, Performance, Risk, and Analytics, is featured in a new article from Money Marketing, in which he discusses how markets are experiencing a style rotation from growth to value and how the environmental, social and governance (ESG) framework is set to spread to stocks on the value side.
SDR: A regulatory saviour?
In October last year the UK’s Financial Conduct Authority (FCA) proposed a package of measures aimed at clamping down on greenwashing, initially targeted at the retail investor market. Known as the Sustainability Disclosure Requirements (SDR), among the measures were three dedicated sustainable investment labels (Sustainable Impact, Sustainable Focus and Sustainable Improvers) as well as disclosure […]
PlanSponsor: DB plans report high returns in Q1 2023
The latest Plan Universe Allocation & Return Analysis report from Investment Metrics, a Confluence company, is the focus of a new article from PlanSponsor, which details how corporate DB plans rebounded in the first quarter of 2023, despite a lackluster 2022.
FundFire: Managers grapple with ‘pockets’ of advisor resistance to ESG
Asset managers are forging ahead with plans to promote environmental, social and governance strategies to advisors, though some industry consultants warn that demand for ESG is cooling in some advisor channels. Confluence’s Chief Strategy Officer, Sanjoy Chatterjee, and Matt Calabro, Executive Director of Compliance Services, offer their insight on the matter in a new article […]
Wealth briefing: Developments in private bank RegTech
Tom Pfister, Confluence’s Managing Director of Compliance, Regulatory and Reporting, speaks with Chris Hamblin, WealthBriefing, about how quickly regulatory technology is evolving and what the effects will be on private banks
The Drawdown: Todd Moyer, Confluence
Todd Moyer, Confluence’s President and Chief Operating Officer, recently spoke with The Drawdown about Confluence Rex.
Three trends for 2024: Unstructured data versus rising regulation
This article was originally published in Traders Magazine on October 4th 2023
Callaway climate insights: The great ESG fund cull of 2023 is upon us
The latest Institutional Net Flows report from Investment Metrics, a Confluence company, is featured in a new piece on Callaway Climate Insights, which uses data from the report to posit that new ESG regulations may clear out many ill-qualified ESG funds, leaving a boon for fund managers that have crafted the most climate-focused portfolios.
Banking risk & regulation: banks form ‘contingency units’ ahead of possible China-Taiwan conflict
Damian Handzy, Confluence’s Managing Director, Analytics, was recently featured in an article in Banking Risk and Regulation, commenting on how growing tensions in the Taiwan Strait could affect the risk exposure of investment firms active in the area.
Reg 13D-G compliance: the SEC ‘modernizes’ large shareholder reporting
Greg Hotaling, Regulatory Content Manager at Confluence breaks down the new rule, offering clarity to a complex ruling.
FundFire: Oregon seeking high-conviction managers amid public equities reboot
Scott Treacy, Research Consultant at Investment Metrics, a Confluence company, is featured in a new article from FundFire, offering his thoughts on how high-conviction asset managers are bouncing back following a rough 2022.
Are institutional investment managers ready for the SEC short sale rule?
Aspasia Latsi, International Regulatory Analyst at Confluence breaks down the Short Selling rule, offering practical advice for how to comply.