News Archive

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.

Nov 21, 20231 min read

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.

Nov 08, 20231 min read

Three trends for 2024: Unstructured data versus rising regulation

This article was originally published in Traders Magazine on October 4th 2023

Oct 04, 20234 min read

Confluence launches Prism Analytics – providing asset managers with first-of-its-kind insights on public and private plans

Institutional Asset Managers Can Leverage Granular, Actionable Intelligence on Channel Level Flows, Actual post-transaction Fees, and Mandates Won / Lost by Manager

Sep 26, 20232 min read

Announcing liability reporting in the Portfolio Analytics and Reporting (PARis) product

Delivering Institutional Investment Consultants and Asset Owners a comprehensive and balanced view of Pension plans

Sep 21, 20232 min read

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.

Sep 11, 20230 min read

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.

Sep 05, 20230 min read

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”.

Sep 01, 20231 min read

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.

Aug 10, 20231 min read