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What does it mean to have an outsourced CCO?
More RIAs are turning to outsourced CCOs to manage their compliance programs. But the arrangement only works if roles, responsibilities, and accountability are clearly defined.
May 22, 2026Read more -
Navigating 2026 shareholder disclosure reforms
Shareholder disclosure rules are changing — and the pace of reform shows no sign of slowing.
May 06, 2026Read more -
CCI product summary template overview
Lewis Davison from Confluence will take you through the key design principles and elements of our CCI product summary template.
Apr 17, 2026Read more -
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 -
The practical implementation realities of preparing for the UK CCI framework
CCI projects are in full swing to meet the 8 June 2027 deadline. While industry discussions continue to address a range of open questions, there are many areas where firms can advance immediately.
Mar 25, 2026Read more -
Jan 27, 2026Read more
