Archive | Regulatory/Compliance

Delays Aren’t What They Used to Be

Why the Form N-PORT Temporary Rule Is All Hat and No Cattle

Pretty much from the day the SEC finalized its reporting modernization rules, the industry has lobbied for something to ease the burden of readiness and processing – a delay, an extended monthly due date, a reduction in frequency – and often cybersecurity was the justification for those readiness and processing asks. The requests were met […]

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SEC Modernization Challenges: Data, Reporting Frequency and Implementation

An SEC Modernization Readiness Q&A with Confluence’s Director of Regulatory Reporting Operations

Originally published on Brown Brothers Harriman’s On the Regs blog The SEC finalized its reporting modernization and liquidity rules late last year. What are you hearing are some key implementation challenges for firms specific to these rules? Many firms know there will be an associated cost to their operations, but they are having difficulty quantifying […]

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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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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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