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Regulatory fines and the rising burden of compliance: How investment managers can stay ahead
In today’s global investment landscape, compliance is no longer just a checkbox exercise — it’s a critical factor in protecting firms from financial and reputational risk.
Understanding accumulated inflation since 2020
Since 2020, inflation has not only eroded purchasing power — it has fundamentally reshaped the investment landscape. Despite moderating headline numbers, the cumulative impact remains embedded in valuations, risk premia, consumer behavior, and global monetary policy.
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”).
Reports
Q4 2025 Factor Performance Analysis
In 2025, global equity markets were supported by easing inflation, stabilization, and a shift toward more accommodative monetary policy, which improved risk sentiment and valuations.
January 2026: Transparency, Enforcement, and What’s Ahead
As the industry enters 2026, regulators across major jurisdictions are moving from rulemaking to closer supervision, validation, and enforcement.
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.
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