Reflecting on the biggest PRIIPs KID and UCITS KIID challenges and getting ready for the next annual refresh
With the Packaged Retail and Insurance-based Investment Products (PRIIPs) Key Information Document (KID) transition complete and the industry looking forward, Confluence’s Shane Flatman and Stephane Turpin took the time to reflect on the move from UCITS KIID to PRIIPs KID overall in a recent webinar.
Much ink has lately been spilled over the new Short Sale reporting rule in the U.S. New Rule 13f-2 was adopted by the Securities and Exchange Commission (‘SEC’) to shed more light upon Short-Selling in the wake of GameStop saga.
Get ready for UK ESG Disclosures UK TCFD Reporting: ESG data points and models Managing ever-changing vendor data and complex modelling requirements
To help UK firms prepare for their upcoming 2024 SDR requirements and current TCFD annual/monthly requirements, we share recommendations gathered from working with firms across the EU and UK to streamline their ESG disclosure and reporting processes.
Asset owners frequently depend on formal RFPs for manager selection. They seek independent validation of your investment approach and a user-friendly method for visualizing your fund’s performance and risk.
To maximize your team’s selling efficiency, you need to know where your market lies and how to price your product.
The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in the U.S.
As the first wave of UK large asset managers and asset owners publish their FCA mandated ESG SDR entity and product reports, lessons can be learnt from similar exercises in the EU.
Composites Insights Series: SEC Marketing Rule: Best practices for simplifying and automating composites and GIPS® reports
Navigating the intricate landscape of investment management demands a delicate balance between regulatory compliance, operational efficiency, and delivering accurate and meaningful data.
Under GIPS® standards, investment advisors can include non-fee-paying accounts in their performance composites without having to apply a model fee.
The SEC Division of Examinations (“EXAMS”) issued a Risk Alert describing EXAMS’ risk-based approach for selecting registered investment advisers to examine and determining the scope of examinations.
Takeaways from the SEC’s New Private Fund Adviser Rules – Build and Plan for Successful Implementation
The private fund regulatory landscape just got more complex with the August 23 SEC adoption of these long-awaited private fund rules, which were first proposed 18 months ago in the face of industry pushback.
The SEC Marketing Rule presents many opportunities for firms to streamline performance and composite reporting.