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Liquidity Risk Spotlight: Increased regulatory scrutiny is our biggest threat

Dec 06, 2022

Inflation and interest rate spikes, the likes of which we haven’t seen in a generation, can cause serious market dislocations and liquidity crunches. Regulators around the world have taken notice. The...

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ESG: As COP27 highlights climate urgency, notions of “sustainability” fracture

Nov 15, 2022

COP27, the UN’s annual climate change conference held this year in Egypt from 6 to 18 November with about 100 heads of state in attendance, can be seen as a microcosm of the challenges and debates that have...

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ESG Strategy: Think Regulation, Data, and Budget

Nov 01, 2022

This blog was original published at Markets Media on October 7, 2022. 

Sustainable investing disclosures in the U.S. are currently governed by general fraud prohibitions in advertising and not by formally...

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Navigating the SEC Marketing Rule: Keyways to Compliance

Oct 27, 2022

The 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...

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ESG Update for Investment Firms: The Data Problem and E.U. Response

Oct 04, 2022

I am superior, sir, in many ways. But I would gladly give it up to be human.” -Data

It’s an observation made by the fictional lieutenant commander in the 1987 pilot episode of Star Trek – The Next Generation....

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Charting a Path to SFDR Deadlines: Optimizing ESG and EET data collection, quality and reliability

Sep 30, 2022

The Sustainable Finance Disclosure Regulation (SFDR) is rapidly progressing towards the January 1, 2023 deadline, and the industry is in the process of managing and solving a variety of challenges. Here, we...

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Charting a Path to PRIIPS KID Deadlines: Four Months Left to Make Significant Data, Calculation and Filing Changes

Sep 27, 2022

Conversations with investment firms, management companies, fund administrators and industry attorneys have ramped up this summer as the industry prepares for the European Union’s (EU) new Packaged Retail and...

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SEC Rule 22e-4: Meeting Compliance Standards and Managing Liquidity Risk

Apr 07, 2022

As we’ve learned from recent financial crises, unpredictable circumstances can cause the liquidity of traded financial instruments to nearly disappear. That lack of liquidity, coupled with the highly...

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Navigating ESG’s Complex Regulatory Landscape

Mar 10, 2022

Amid growing demand from socially conscious investors, asset managers have worked tirelessly over the past decade to create ESG investment vehicles. While the pandemic heightened mainstream interest in ESG,...

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Confluence Connect: Issue 3

Feb 24, 2022

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...
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