Navigating the SEC Marketing Rule: Keyways to Compliance
The new SEC Marketing Rule is accompanied by a detailed, 430-page release & requires advisers to adopt the entire rule all at once by November 4, 2022.
ESG Update for Investment Firms: The Data Problem and E.U. Response
Realistically, E.U. regulatory efforts addressing ESG data (or indeed such efforts anywhere else) face a substantial road ahead before they become effective.
Charting a Path to SFDR Deadlines: Optimizing ESG and EET data collection, quality and reliability
SFDR is progressing towards the 1/1/23 deadline & the industry is in the process of managing & solving a variety of challenges. Here, we provide a brief…
Charting a Path to PRIIPS KID Deadlines: Four Months Left to Make Significant Data, Calculation and Filing Changes
Conversations with firms, fund admins and attorneys have ramped up as the industry prepares for the EU’s new PRIIPs reporting requirements by Jan 1, 2023.
The State of ESG Regulatory Reporting – and What it Means for Market Participants and Investors
Where do the ESG regulatory reporting regimes stand today? And what impacts will they have for market participants and investors?
Are You Ready to Comply with the New SEC Marketing Rule?
With the upcoming deadline of the 4th November, 2022, the new SEC Marketing Rule requires firms to create composites around similarly managed portfolios for performance reference, even if they are not GIPS® (Global Investment Performance Standards) Standards compliant.
Key ESG Strategy Considerations
Having a streamlined ESG strategy in place before relevant regulations go live is key for building and retaining competitive advantages.
ESG Regulations Take Hold in Europe With Other Regions Set to Follow
The EU’s comprehensive sustainable finance action plan aims to mandate that companies integrate ESG risks into their investment management and disclosure
Five PRIIPs Reporting Challenges Asset Managers Need to Know
Time is running out to comply with the EU’s new PRIIPs reporting requirements, and adjust to new formats and content for preparing KIDs by January 1, 2023.
Key Considerations When Replacing UCITS KIIDs With PRIIPs KIDs
Find out how Confluence can help streamline your compliance process with our end-to-end PRIIPs KID reporting solution.
SEC Rule 22e-4: Meeting Compliance Standards and Managing Liquidity Risk
Rule 22e-4 has created a number of potential compliance problems for fund managers. To thrive amid these requirements, investment managers must have a quick and simple way to assess the true liquidity of their portfolios.
Navigating ESG’s Complex Regulatory Landscape
Regulators, allocators and investors alike are calling for greater clarity and efficiency around ESG investments – how can firms deliver effectively and…