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New $300 FINRA gift limit and clarifications to Rule 3220
FINRA’s amendments to Rule 3220 (Influencing or Rewarding Employees of Others) mark one of the most significant updates to the gifts and gratuities framework in decades.
Beyond the hype: Why 2026 is the year of “boring” AI and radical practicality
For the last two years, the investment management industry has been stuck in a cycle of anticipation regarding artificial intelligence.
Regulatory fines and the rising burden of compliance: How investment managers can stay ahead
In today’s global investment landscape, compliance is no longer just a checkbox exercise — it’s a critical factor in protecting firms from financial and reputational risk.
Reports
February 2026 Factor Performance Analysis
Global equity markets displayed a shift in leadership dynamics during February.
Q4 2025 Plan Universe Allocation & Return Analysis
Equity allocations drive defined benefit plan performance to post best annual performance since 2020.
January 2026 Factor Performance Analysis
In January 2026, global equity markets delivered mixed performance, with Emerging Markets leading the way and the U.S. lagging behind as the weakest performer.
Case Studies
Identifying Complementary Funds Through Style Differentiation
Fund of Funds managers and multi-manager investors are under pressure to deliver diversified portfolios that maintain performance consistency while reducing unintended style concentration and risk.
Automating the Monitoring of Market, Liquidity, and Sustainability Risk
A Luxembourg regulated Super ManCo automates the monitoring of market, liquidity and sustainability risk using Confluence Revolution.
Institutional Defined Benefit Plan Targeting
Confluence helped an Asset Management firm define a debt distribution strategy based on client types and sizes, moving to LDI with the Prism Analytics platform.
White Papers
Co-Sourcing with Confidence: A Smarter Model for Regulatory Resilience
Why leading investment managers are blending control and capacity to meet today’s regulatory reporting demands.
Why Asset Managers Are Embracing Managed Services for Regulatory Reporting
Asset managers face mounting challenges in regulatory reporting and compliance. These complexities demand precise data management, ongoing awareness of regulatory updates, and accurate submission timing.
Investment monitoring and shareholder disclosures
In this overview we examine an important and taxing set of regulatory regimes, imposed by more than 100 countries around the worldand applying generally to firms wherever domiciled.
Videos
After the Alert – January 2026
Welcome to the January 2026 edition of After the Alert
After the Alert – December 2025
Welcome to the December 2025 edition of After the Alert
After the Alert – November 2025
Welcome to the November 2025 edition of After the Alert
