About a-team Marketing Services
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: Fast, Cheap, State of the Art: Optimising Execution Quality using Cloud Data, Python and Streaming Analytics

Trade execution is critical to competitive advantage, so how can it be optimised, what challenges does it present and what types of approaches and technologies can firms implement to resolve any problems? This webinar will consider new approaches to the old problems of optimised execution, the role of new technologies including artificial intelligence (AI) in...

BLOG

Single Rulebook and Sigma AI Target Regulatory Lag as Markets Accelerate

Single Rulebook and Sigma AI have partnered to shorten the time between an exchange changing its rules and the affected trading business responding. Exchanges can issue circulars that alter trading conditions each day, leaving firms to identify affected desks, assess the operational consequences and document decisions across disconnected teams. The firms aim to deliver source-grounded...

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

AI in Capital Markets Handbook 2026

AI adoption in capital markets has moved into a more disciplined phase. The priority is now controlled deployment: where AI can be used safely, where it can deliver measurable value, and how outputs can be governed, monitored and evidenced. The 2026 edition of the AI in Capital Markets Handbook examines how AI is being applied...