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Behind the Curtain – SEC’s Risk-Based Approach to Examinations
.author-card a { display: inline-block; width: 1rem; margin-left: 0.25rem; vertical-align: middle; } Authors: Alison Fraser, Director, Institutional & RIC Services, Confluence Kevin Renner,...
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In the News Post: Three Trends for 2024: Unstructured Data versus Rising...
.author-card{ margin-top: 24px; } .author-card a { display: inline-block; width: 1rem; margin-left: 0.25rem; vertical-align: middle; } Author: Todd Moyer, President and Chief Operating Officer,...
View ArticleSEC adopts amendments to modernize Beneficial Ownership reporting (Regulation...
The SEC adopted rule amendments governing beneficial ownership reporting under Sections 13(d) and 13(g) of the Securities Exchange Act of 1934. The key amendments are as follows: • shortening of the...
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Takeaways from the SEC’s New Private Fund Adviser Rules – Build and Plan for...
.author-card a { display: inline-block; width: 1rem; margin-left: 0.25rem; vertical-align: middle; } Authors: John Gentile, Director, Private Fund Services, Confluence Armando DeChalus, Regulatory...
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How are investors impacted by the modernization of the Beneficial Ownership...
The modernization of the Beneficial Ownership reporting has been a long-discussed topic by the Securities and Exchange Commission (“SEC”) in the U.S. It therefore comes as no surprise that the...
View ArticleSEC adopts Rule 13f-2 to increase transparency into Short-Selling
The SEC adopted new Rule 13f-2 to provide greater transparency into Short-Selling. Rule 13f-2 will require institutional investment managers that meet or exceed certain thresholds to report on Form...
View ArticleIn the News: Reg 13D-G Compliance: the SEC ‘Modernizes’ Large Shareholder...
Greg Hotaling, Regulatory Content Manager at Confluence breaks down the new rule, offering clarity to a complex ruling. Read the full article
View ArticleHKEX will implement changes to derivatives market position limits on 22...
Hong Kong Exchanges and Clearing Limited (HKEX) announced yesterday that new enhancements to position limits will take effect on 22 December 2023. The main amendments are as follows:• A 5-tier...
View ArticleThe new SEC Short selling rule will keep us occupied for quite some time
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...
View ArticleReflecting 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...
View ArticleConfluence Announces Partnership with Manaos to Provide SFDR Reporting Solution
Pittsburgh, PA, December 12, 2023 – Confluence Technologies, Inc. (“Confluence”), a global technology solutions provider helping the investment management industry solve complex investment data...
View ArticleConfluence’s Proven Reporting Platform Addresses New Reporting Requirements...
The platform solves unprecedented private fund data challenges while delivering accuracy and efficiency to the private fund industry. Pittsburgh, PA, December 14, 2023 – Confluence Technologies, Inc....
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