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SydneyThe SEC's new Marketing Rule that came into effect last year expanded the definition of advertising. It allows for marketing via new channels and enhances existing disclosure requirements. It will have...
Confluence
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Regulatory frameworks are quickly emerging to standardize the reporting and disclosure of ESG metrics across as many as 140 jurisdictions around the world. The EU’s action plan for sustainable finance is...
Time is running out
With the upcoming deadline of the 4th November, 2022, the new SEC Marketing Rule requires firms to create composites around similarly managed portfolios for performance reference, even if...
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...
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...
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...
Complex Challenges, Straightforward Solutions
While we were all busy in 2021 dealing with the global pandemic subsiding in the middle of the year and then roaring back toward the end of the year, our industry...At its March 14 open meeting, the SEC approved a proposal that while still mandating funds to use the SEC’s Form N-PORT to report liquidity classifications, commonly known as “buckets”, it would, among other...