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SEC Division of Examinations Issues Risk Alert on Marketing Rule Compliance: Key Observations for Investment Advisers
The SEC’s Division of Examinations (the “Division”) recently issued a Risk Alert to provide investment advisers, investors, and market participants with practical guidance regarding compliance with the amended Rule 206(4)-1 under the Investment Advisers Act of 1940 (the “Marketing Rule”).
FCA Publishes Final CCI Rules
Almost a year since the initial consultation paper (CP24/30), and several months after the subsequent consultation paper (CP25/9), the FCA’s final Consumer Composite Investments (CCI) rules arrived via Policy Statement (PS25/20) on 8 December 2025.
Beyond Compliance: Insights from the 29th GIPS® conference and what they mean for your firm
Beyond Compliance: Insights from the 29th Annual GIPS®️ conference.
What mattered most at the CFA Institute’s GIPS®️ Standards Conference in Phoenix? Industry expert, Carl Bacon – Chief Advisor at Confluence Technologies – breaks it down for you.
Reports
November 2025 Factor Performance Analysis
In November 2025, global equity markets posted modest gains as investors shifted from expensive growth and technology stocks into more attractively valued sectors.
Closing out 2025: A year of transition, transparency, and transformation
As 2025 draws to a close, the regulatory landscape for global asset managers has continued to evolve.
SFDR review – Level 1 text published
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Case Studies
Automating the Monitoring of Market, Liquidity, and Sustainability Risk
A Luxembourg regulated Super ManCo automates the monitoring of market, liquidity and sustainability risk using Confluence Revolution.
Institutional Defined Benefit Plan Targeting
Confluence helped an Asset Management firm define a debt distribution strategy based on client types and sizes, moving to LDI with the Prism Analytics platform.
Top-five global financial institution
Major global financial institution integrates Confluence’s composites solution for regulatory reporting and uniform performance measurement standards to increase scalability, speed, usability and functionality.
White Papers
Co-Sourcing with Confidence: A Smarter Model for Regulatory Resilience
Why leading investment managers are blending control and capacity to meet today’s regulatory reporting demands.
Why Asset Managers Are Embracing Managed Services for Regulatory Reporting
Asset managers face mounting challenges in regulatory reporting and compliance. These complexities demand precise data management, ongoing awareness of regulatory updates, and accurate submission timing.
Investment monitoring and shareholder disclosures
In this overview we examine an important and taxing set of regulatory regimes, imposed by more than 100 countries around the worldand applying generally to firms wherever domiciled.
Videos
After the Alert – December 2025
Welcome to the December 2025 edition of After the Alert
After the Alert – November 2025
Welcome to the November 2025 edition of After the Alert
After the Alert – October 2025
Welcome to the October 2025 edition of After the Alert