SEC warns SPAC targets the road may be difficult
The SEC issued two pieces of guidance on special purpose acquisition companies, or SPACs. One piece, styled as a statement...
Updates & Insights
On The Dot
Regulatory disclosure and compliant communications - direct from the experts.
Podcast: RILA Rulemaking: The Highs, The Lows, and The Unknown
On The Dot (Episode 7) - A conversation with Guy Stanzione discussing the highs, the lows, and questions to be resolved to ensure SEC compliance.
Updated: October 1, 2024
Importance of personalizing member communications
With one in five consumers feeling the need for a digital detox, the need for well-targeted and personalized content is...
Benefits of multichannel marketing in healthcare
In today’s world, many Payors are challenged with financial reckoning to be more responsible with their cost centers. Marketing and...
SEC final rule: Use of derivatives by registered investment companies and business development companies
New SEC rule 18f-4 will permit funds to enter into derivative transactions if they comply with certain conditions designed to...
Jennifer Froberg - Sr SEC Product Specialist
ESG disclosure insights from the sustainability accounting standards board
Under the administration of President Biden, the SEC will probably consider requiring disclosures in several environmental, social, and governance (ESG)...
SEC data demonstrates that SOX ICFR failures are rarely isolated incidents
Effective internal controls are the bedrock of quality financial reporting – the essential checks and balances that help to ensure...
Jennifer Froberg - Sr SEC Product Specialist
Why ADA Compliance Should be a Focus for Marketing Teams
When it comes to communicating with your customers, don’t underestimate the power of accessibility. It can enhance your brand and...
Why proper ICFR is key to ensuring SOX compliance and accurate periodic reporting
The Sarbanes-Oxley Act (SOX) was adopted in 2002 in light of the Enron crisis. Immediately, SOX became part of the...
Jennifer Froberg - Sr SEC Product Specialist
2020 retrospective: Key 1940 Act regulations for investment management and insurance companies
We certainly won’t see an end to new rule-making as the industry and regulators are under pressure to adapt to...
SPACs are booming — So what does the future hold?
SPACs offer a faster, cheaper way of taking a company public. By sidestepping the expensive underwriting fees, arduous road shows,...