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)...
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
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,...
SEC adopts fund of funds arrangements rule
Currently, Funds must obtain an SEC exemptive order to acquire shares of another Fund in excess of SEC limits. The...
The golden repository: centralizing marketing communication technologies to improve productivity, efficiency and compliance
Your plan's ability to communicate effectively internally and with members is key. While marketing technology stacks aim to make complicated...
IPO Alternatives: Direct Listings and De-SPAC Transactions
In an interview on CNBC, SEC Chair Jay Clayton addressed the recent SPAC frenzy. Asked if SPACs are as good...
Inline XBRL insight for mutual funds and variable contracts
The deadlines for financial services providers to start filing certain disclosures in iXBRL format has been in effect for Large...