Dena Hopkins, CIPM, Senior Analytics Consultant, Confluence, was recently featured in an article from Ignites on the SEC’s clarification on performance disclosures, offering her thoughts on the clarification and what it means for firms.  Read More The post In the News: Ignites: SEC Clarifies Performance Disclosure Questions appeared first on Compliance Solutions Strategies ..read more

Damian Handzy, Confluence’s Managing Director, Performance, Analytics, and Risk, has published a new piece for Investment Week, focusing on the importance of effectively integrating ESG into firms’ overall strategies and the role technology plays during the integration process.  Read More The post In the News: Investment Week:  The importance of effectively integrating ESG appeared first on Compliance Solutions Strategies ..read more

Confluence’s Unity platform combined with FundGuard’s capabilities will enhance operational efficiency and deliver customers an out-of-box financial reporting experience. Pittsburgh, PA, March xx, 2023 – Confluence Technologies, Inc. (“Confluence”), a global technology solutions provider helping the investment management industry solve complex investment data challenges, today announced a partnership with FundGuard, the cloud native, AI-powered, multi-asset class investment accounting platform. The partnership will combine functionality from Confluence’s fund administration platform Unity and ..read more

Damian Handzy, Confluence’s Managing Director, Performance, Risk, and Analytics, is featured in a new article from The Banker, where he offers his thoughts on SVB’s failure, the US governments response, and how it could affect markets worldwide.   Read More The post In the News: The Banker: The Silicon Valley Bank collapse and Credit Suisse’s last minute lifeline appeared first on Compliance Solutions Strategies ..read more

Q&A with Kirsten Garrett, CHRO, Confluence With over two decades of human resources leadership experience, Kirsten Garrett is an accomplished human resources executive with a proven track record of building teams, implementing scalable processes, being an agent of change, and creating operational efficiencies.  Joining the firm in January 2023, Kirsten brings to Confluence proven abilities in talent management, talent acquisition, strategic planning, organizational effectiveness, diversity, equity and inclusion (DEI), compensation, M&A, and workforce analytics. We caught up with K ..read more

Greg Hotaling, Confluence’s Regulatory Content Manager, is featured in the latest issue of Asset Servicing Times, providing his insights on recent developments in the shareholder rights sphere. Read More The post In the News: Asset Servicing Times: Shareholder Rights Panel appeared first on Compliance Solutions Strategies ..read more

categorizing its approx. EUR 75 million in total revenue as well as 75 million in total expenses. The agency created in 2011 to regulate CRAs (credit rating agencies) is still prioritizing that source of revenue, planning to collect more than EUR 10 million in fees from CRAs. EMIR 2.2 fees are ESMA’s next largest fee source, at almost EUR 6 million. Meanwhile, contributions from Member State NCAs and from the EU represent the bulk of its budgeted revenue, at more than EUR 47 million. As for expenses, staff is the largest category (EUR 48.5 million), followed by operating expenses (EUR 15 milli ..read more

Celebrating the one year anniversary since three key players in the investment management software industry came together to better serve the needs of their clients with a more comprehensive and innovative set of solutions for their complex investment data challenges. Dear colleagues, clients, business partners, and shareholders, Today we are celebrating just over a year since Confluence announced the acquisitions of Compliance Solutions Strategies (“CSS”) and Investment Metrics, two key players in the investment management software industry. When we decided to bring together the unique capa ..read more

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. The State of ESG Regulatory Reporting — and What it Means for Market Participants and Investors ESG Update for Investment Firms: The Data Problem and E.U. Response Key Takeaways on the SEC’s Draft Strategic Plan for 2022 – 2026 To Elon Musk: there’s an app for that. It’s called Signal Adapting your RIA Compliance Program for Crypto The post CSS’s top 5 most popular insights of 2022  appeared first on Compliance Solutions Strategies ..read more

This is a reminder that if you have any investment adviser representatives (“IARs”) registered in a jurisdiction that adopted the model continuing education (“CE”) rule, they are subject to the continuing education requirements before 12/31/2022. This applies to all registered IARs of both state-registered and federal covered investment advisers in that jurisdiction.   What happens if you do not complete the CE requirement? The IAR will be noted as ‘CE Inactive’ and if CE is not completed by the end of year, the IAR will be unable to renew his or her registration.   The jurisdic ..read more