Updates & Insights

How the new SEC Tailored Shareholder Report rule impacts your EDGAR filing

The SEC has been focusing on digitally transforming and modernizing all aspects of fund operations for many years. Changes like...

Guy Stanzione - Director, SEC Compliance Services

May 10, 2023

Financial Services

Tailored Shareholder Reports: Managing the SEC website hosting requirements

In recent years the SEC has been focused on modernization and digital transformation, with the goals of:  1. Transparency and...

Guy Stanzione - Director, SEC Compliance Services

May 2, 2023

Financial Services

How CMS’ File and Use can assist Medicare Advantage Organizations

“Keep ‘em honest” often refers to important business activity checks and balances. An area in the Medicare Advantage (MA) industry...

Summer Beach – Associate Director, Medicare Compliance Solutions

April 19, 2023

Health Plans

SOX compliance: 4 key considerations for 2023

Elizabeth Epler Jones, Partner at AXIA Partners, details the impact of the PCAOB’s standards-setting agenda and what that means for...

Elizabeth Epler Jones, CPA - Partner, AXIA Partners

April 10, 2023

Corporate Compliance

PitchBook on ESG Developments in the Private Markets

Over the last year, we have seen unprecedented change in the Public Company Accounting Oversight Board (PCAOB) and its standards-setting...

Cadwalader Wickersham & Taft LLP

March 28, 2023

Capital Markets

Tailored Shareholder Reports: 6 things to consider before your first filing

In January 2023, the U.S. Securities and Exchange Commission (SEC) finalized new rules and amendments related to how mutual fund...

Guy Stanzione - Director, SEC Compliance Services

March 16, 2023

Corporate Compliance

Rule 10b5-1, Insider Trading: Form 4 and 5 disclosure changes and Form 144 deadline extended

Insider Trading Arrangements and Related Disclosures, a new SEC rule, implements cooling-off periods for directors and officers to minimize potentially...

Jennifer Froberg - Sr SEC Product Specialist

March 15, 2023

Capital Markets Corporate Compliance

Guidance from the SEC for new Pay versus Performance tables

The SEC staff recently issued 15 interpretations (see Sections 128D and 228D) relating to its new Pay versus Performance (PvP) rules.

Bryan Cave Leighton Paisner

March 3, 2023

Corporate Compliance

Decoding the SEC’s Updates on Pay Versus Performance Rules

Many issues remain open for imminent filers Final Pay Versus Performance (PVP) disclosure rules were published nearly six months ago leaving many...

Pearl Meyer

February 24, 2023

Capital Markets

ESEF iXBRL block tagging is here. What does that mean for you?

After implementing iXBRL tagging of face financials last year as part of the initial requirements of the ESMA ESEF mandate,...

Bartek Czajka - Director of XBRL Consulting Services

February 23, 2023

Corporate Compliance