Archive | Regulation

Need the Form N-PORT XML Schema?

Get Ready to Wait.

As SEC Reporting Modernization moves from planning to preparation, one persistent gap in those plans – and an issue at the top of everyone’s concerns – is the release of the Form N-PORT XML Schema. XML is data that has been assigned standardized tags that denote the meaning of each data item. It is what […]

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Cloud First

Over the past 18 months at Confluence, we’ve seen a dramatic shift in our clients’ readiness and willingness to adopt cloud technologies, especially those delivered by external providers. We no longer ask “if” organizations are moving to the Cloud, but rather how quickly is the procurement process maturing to support the business, technology, and operational […]

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First SEC Open Meeting Post Chairman White

Focus on Data, Not Documents

The initial SEC open meeting for 2017, held on March 1, was no ordinary open meeting. At only two commissioners, the SEC is at less than half its full strength. The meeting was the first since Chairman Mary Jo White left the Commission. And it was the first open meeting under the pro-deregulation Trump administration. […]

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UK Regulator Clarifies Position for Non-EU AIFMs

The UK Financial Conduct Authority (FCA) has amended its rules on Annex IV reporting following consultation during 2016. The amendments, which were published on 25th January 2017, will affect all non-EU Alternative Investment Fund Managers (AIFMs) that market Alternative Investment ‘Feeder’ Funds in the UK under the UK’s national private placement regime.  Annex IV reporting is […]

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Increment or Platform: How Regulation is Driving the Move from Point Solutions to Platform Technology

As today’s asset management back office becomes more and more technology-driven, there is a shift from point-based technology solutions that solve specific functions in what are often very complex processes, to a more consolidated approach that allows multiple processes and functions to be completed within one centralized platform. The best-of-breed trend from years’ past might […]

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2017 or The Rise of RegTech

The idea that RegTech will be a driver of progress across the industry has already started to spread among asset managers, their service providers and regulators, and we believe that it will continue to rise quickly in 2017. Year after year, the asset management industry is met with new rounds of regulatory requirements that promise […]

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Regulatory Technology: Then and Now

Increasingly, regulators and the regulated, are embracing the ideology that technology can work for them to alleviate the pressure of the constantly evolving regulatory landscape. This new openness has led to the emergence of “RegTech”. Much like FinTech did a few years ago for financial services technology, RegTech marries technology and regulatory compliance functionality to […]

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Survey Reveals What’s Trending Today: Automation, Regulatory Reporting and Data

At the start of each year, our team at Confluence reflects on the state of the asset management back office and predicts issues and trends that we see emerging over the coming months.  For 2016, we predicted that the asset management industry would see streamlining and optimizing their data management processes as a way to […]

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