About a-team Marketing Services
The knowledge platform for the financial technology industry
The knowledge platform for the financial technology industry

A-Team Insight Blogs

SEC N-PORT Deadline Compliance Met with RegTech

Subscribe to our newsletter

Confluence has announced that those of its clients with a May 30, 2019 Form N-PORT filing requirement have completed their filings with the US Securities and Exchange Commission (SEC). Confluence’s clients represent fund administrators and asset managers servicing more than 75% of funds filing Form N-PORT. They have met their Form N-PORT requirements using Unity NXT Regulatory Reporting.

The Unity NXT Regulatory Reporting solution was designed by Confluence to ease the data management challenges and automate the filing processes for complex global regulatory reporting obligations, including the SEC’s Form N-PORT and Form N-CEN. For Form N-PORT, Confluence worked closely with its clients to map source data to the form and successfully conduct test filings across its client base to prepare for this first filing. Confluence systems load more than 25 million data records per month, representing over 4,000 unique source file types for the over 9,000 funds using their solution for Form N-PORT.

In February, the SEC changed the way firms have to file the N-PORT form to reduce cybersecurity risk for the regulator. The new filing requirements shrink the amount of non-public information the regulator has to hold. Previously, firms had to file monthly – now they file within 60 days of the end of the quarter for the whole quarter.

Subscribe to our newsletter

Related content

WEBINAR

Recorded Webinar: Navigating a Complex World: Best Data Practices in Sanctions Screening

As rising geopolitical uncertainty prompts an intensification in the complexity and volume of global economic and financial sanctions, banks and financial institutions are faced with a daunting set of new compliance challenges. The risk of inadvertently engaging with sanctioned securities has never been higher and the penalties for doing so are harsh. Traditional sanctions screening...

BLOG

FinCEN Issues New Guidance on SARs : Less Box-Ticking, More Signal

The Financial Crimes Enforcement Network (FinCEN), together with the Federal Reserve, Federal Deposit Insurance Corporation (FDIC), National Credit Union Administration (NCUA), and the Office of the Comptroller of the Currency (OCC), recently issued new guidance clarifying how financial institutions should approach the filing of Suspicious Activity Reports (SARs), see Frequently Asked Questions Regarding Suspicious Activity...

EVENT

TEST Event page 1

Now in its 15th year the TradingTech Summit London brings together the European trading technology capital markets industry and examines the latest changes and innovations in trading technology and explores how technology is being deployed to create an edge in sell side and buy side capital markets financial institutions.

GUIDE

Regulatory Data Handbook 2025 – Thirteenth Edition

Welcome to the thirteenth edition of A-Team Group’s Regulatory Data Handbook, a unique and practical guide to capital markets regulation, regulatory change, and the data and data management requirements of compliance across Europe, the UK, US and Asia-Pacific. This year’s edition lands at a moment of accelerating regulatory divergence and intensifying data focused supervision. Inside,...