Tag: Document & Template Production
Testing, testing – CCI and the Consumer Duty
Intro The introduction of the UK Consumer Composite Investments (CCI) framework via PS25/20 represents a step-change in the design and delivery of fund disclosures. Gone are the rigid, regulatory-prescribed formats of old, in favour of a more flexible approach enabling asset managers, insurers and other in-scope product manufacturers to better tailor information delivery to end […]
Navigating the regulatory crossroads: Why increasing divergence matters for investment funds
Introduction In a time of rapid regulatory change, investment managers face a shifting landscape. As highlighted in a recent article by Funds Europe, our own Lewis Davison explores how the widening divergence in regulatory approaches across Washington, Brussels, and London is influencing funds’ structure, domicile, and investor reach. (Funds Europe) At Confluence, we believe recognising […]
Regulation in motion: Preparing for disclosure, oversight, and data-led supervision
Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.
Global compliance moves in focus: From FCA signals to AI and beyond
Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.
Regulatory reform in focus: Preparing for the next wave of simplification
Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.
FCA to review the consumer duty: What it could mean for asset managers
In her Mansion House speech on 15 July 2025, Chancellor Rachel Reeves announced that the Financial Conduct Authority (FCA) will carry out a targeted review of the Consumer Duty, introduced in 2023. The review will focus specifically on its impact on wholesale firms and the application of obligations to professional client relationships. This initiative is […]
FCA proposes key simplifications under CCI framework in latest consultation (CP25/9)
On 16 April 2025, the FCA published a subsequent consultation (to CP24/30) on certain specific provisions under the incoming CCI framework (CP 25/9), which runs through to 28 May 2025. Within the same update, the FCA indicates that it expects to publish the final rules via a policy statement in late 2025. As such, if we […]
AIFMD II and SEC Names Rule: what you need to know
Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.
Tech in transaction reporting: new ID rules and ESG changes
Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.
ESG requirements and EU reporting: navigating the changes
Explore our RegTech Reports. Your trusted source for essential insights into regulatory technology and industry updates. This curated collection of reports, blogs, and video series covers a wide range of topics, from upcoming regulatory changes to the latest technological advancements, helping you navigate the complexities of compliance with confidence.
Navigating PRIIPs & UCITS challenges: Preparing for the 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. And now that we’re in the fourth quarter of the year, now is the time to start the process of refreshing your PRIIPs KIDs and UCITS KIIDs. Here, we discuss the key areas and challenges the industry worked through as part of the transition and the crucial areas KID producers should focus on to ensure they are ready for the annual refresh.
As pressures mount, SEC finalizing its rule for companies’ climate-related disclosures
Global scientific consensus and domestic political interests compete for its attention The SEC’s forthcoming Final Rule, requiring climate-related disclosures by US companies, is placed here in the context of recent global climate developments. This provides some perspective on the pressures faced by the SEC, as it finalizes its much talked-about 490-page proposal. We conclude with some important action items for investment firms, who will rely on these disclosures for their sustainability investment analyses and compliance functions.
Confluence’s top 5 most popular insights of 2022
As we leave 2022 behind and 2023 begins, make sure you didn’t miss a thing last year with this recap of our top insights.
Charting a path to SFDR deadlines: Optimizing ESG and EET data collection, quality and reliability
The Sustainable Finance Disclosure Regulation (SFDR) is rapidly progressing towards the January 1, 2023 deadline, and the industry is in the process of managing and solving a variety of challenges. Here, we provide a brief timeline of the work that remains, discuss the challenges of the European ESG Template (EET) and ESG data, and the best ways […]
Charting a path to PRIIPS KID deadlines: Four months left to make significant data, calculation and filing changes
Conversations with investment firms, management companies, fund administrators and industry attorneys have ramped up this summer as the industry prepares for the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirements by January 1, 2023. Firms will need to adjust to new formats, content and calculations for preparing their Key Information Documents (KIDs) […]
Key ESG strategy considerations
A Streamlined Approach to ESG Strategy ESG investing is at the forefront of the industry and with ESG-related regulations coming soon, having a streamlined ESG strategy in place is key for building and retaining competitive advantages. Demonstrable improvements in the breadth and depth of ESG information, tools and frameworks are evident throughout the investment management […]
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 sustainability risks into their investment management and disclosure processes, including their impact on the market environment. Its goals are to: Companies are regulated under the Non-Financial Reporting Directive (NFRD) and soon the Corporate Sustainability Reporting Directive (CSRD), while financial products will be […]
Five PRIIPs reporting challenges asset managers need to know
Time is running out to comply with the European Union’s (EU) new Packaged Retail and Insurance-based Investment Products (PRIIPs) reporting requirements, and adjust to new formats and content for preparing key investor documents (KIDs) by January 1, 2023. On top of this, the regulation will extend to all Undertakings for Collective Investment in Transferrable Securities (UCITS) products that have an exemption in […]
Key considerations when replacing UCITS KIIDs with PRIIPs KIDs
With the ever-changing regulations and the strain they place on internal resources, it is increasingly important that firms have a streamlined and holistic approach to their data, calculations, and processes to meet the evolving regulatory requirements. In a few short months, asset management firms, insurance companies, and other financial institutions will need to comply with […]
Navigating ESG’s complex regulatory landscape
Amid growing demand from socially conscious investors, asset managers have worked tirelessly over the past decade to create ESG investment vehicles. While the pandemic heightened mainstream interest in ESG, the trend is projected to continue its acceleration as it has become widely recognized as a key value driver. With these developments, regulators the world over have naturally taken notice, […]
FTF Exchange Podcast: Seeing the ESG Requirement as a Data Challenge
In a new FTF Exchange podcast, Todd Moyer, President and Chief Operating Officer (COO), Confluence, explains that financial services firms that want to meet investor requirements for Environmental, Social, and Governance (ESG) compliance will find that it boils down to a data challenge that would be helped by greater transparency. “An area of focus for Confluence, […]