Corporate Compliance

Podcast: Cybersecurity risk management, strategy, governance and incident disclosure [10:54]

On The Dot (Episode 1) - A conversation with Jennifer Froberg, Senior SEC Product Specialist, about the new cybersecurity disclosure...

Jennifer Froberg - Sr SEC Product Specialist

September 19, 2023

New N-PX reporting requirements for 13F filers (Institutional Investment Managers)

Mutual Funds are required to report annually on Form N-PX the proxy votes they exercise for securities the fund holds....

Jennifer Froberg - Sr SEC Product Specialist

September 5, 2023

The SEC modernizes Form N-PX to require Mutual Funds to report proxy votes in XML

Mutual Funds are required to report annually on Form N-PX the proxy votes they exercise for securities the fund holds....

Jennifer Froberg - Sr SEC Product Specialist

August 11, 2023

Modernization of filing fee disclosures – preparing for iXBRL Beta testing in October 2023

On June 16, 2023, the SEC announced the next stage of the rule implementation: an EDGAR filing fee Beta testing...

Jennifer Froberg - Sr SEC Product Specialist

June 27, 2023

Important Topics Related to Insider Trading Disclosure and iXBRL Tagging

The SEC continues their focus on effective corporate governance and transparent executive compensation disclosure with the adoption of the Insider Trading...

Jennifer Froberg - Sr SEC Product Specialist

June 19, 2023

Clarifying SEC Form 144 filing requirements

Understanding the complexities of selling securities, particularly restricted and controlled securities, can be challenging. Although Form 144 is crucial for...

Toppan Merrill

June 16, 2023

What is SEDAR+?

The new platform is designed to better support how issuers, SEDAR+ filing agents and data consumers file, disclose and access...

Toppan Merrill

June 2, 2023

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

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

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