Articles
Unlocking the Advantages of Composites and the GIPS® Standards
Becoming GIPS compliant can help firms simplify compliance with other current and future rules, gain more trust from prospects and clients, and maximize marketing and sales efforts.
Why firms are struggling to meet the looming deadline on the SEC Marketing Rule and how they can accelerate compliance
In a matter of weeks, investment advisers must comply with the SEC’s new Marketing Rule, a detailed, 430-page release centered around requirements to avoid untrue, unsubstantiated, or misleading statements, and to require fair and balanced presentation material.
ESG Disclosure Regulations: Creating Data-Driven, Future-Proof Reporting and Analysis
ESG investing is still evolving and will continue to do so for years to come. As part of that evolution, ESG frameworks are emerging to standardize the reporting and disclosure of ESG metrics across as many as 140 jurisdictions around the world, with the EU’s Sustainable Finance Action Plan (SFAP) leading the way.
Whitepaper: Preparing for PRIIPs KID: Key Considerations
Download our latest whitepaper to learn about key challenges of PRIIPs KID, best practices and end-to-end capabilities needed to meet the requirements.
ESG Sustainability Stress Testing
The integration of climate risk (or more generally sustainability risk) stress testing into long-term business strategy and governance is key, as it will incorporate sustainability assessments into the risk appetite framework of institutions.
Making the Right Adjustments: Managing Liquidity Risk for SEC Rule 22e-4 Compliance
Rule 22e-4 is specifically aimed at quantifying liquidity risk in most mutual fund and ETF portfolios – particularly, the risk of a fund being unable to meet redemption requests without significant impact on its remaining investors. The regulation comes with a host of challenges leaving fund managers looking for an efficient, scalable solution.
Seeking Balance: Managing Insurance Portfolios Under Solvency II
In the post-Solvency II world, asset managers with insurance clients are grappling with additional layers of complexity. In addition to incorporating the cost of capital into the asset allocation process, they are also required to fulfill an extensive set of reporting obligations, leading them to partner with external vendors to implement a cost-effective and efficient workflow.
Efficiency in the Aggregate: Why Private Wealth Managers Should Adopt Composites
While building composites is common among institutional asset managers, private wealth managers have not adopted them to the same degree – but a shift is already underway, and this will continue to change as wealth managers face renewed scrutiny.
Aite Matrix: Fixed Income Attribution and Analytics
This excerpt from an Aite Impact Report details the Aite Group vendor assessment framework, the market and it’s players, and why Confluence was selected as Best-in-Class for Fixed Income Attribution and Analytics.
More Than Compliance: Setting the Scene for the Next Phase of RegTech
As the RegTech space continues to mature, focus is shifting from the what to the how – that is, from simply being compliant to identifying how asset managers and service providers can leverage technology to refine existing compliance and reporting procedures and execute them with efficiency, precision and cost-effectiveness.
Adapting Smoothly to SEC Rule 18f-4
To modernize the regulatory framework covering derivatives, and to address how both derivatives themselves and the risks they pose to investors have changed, the SEC has fundamentally changed the rules.