The Six Keys to Customer Communication for Financial Services Firms- Part 1
In today’s business landscape, customers expect clear and consistent communication from every company they work with, especially when it comes...
Financial Services
Articles
SEC implies examination of websites for Rule 498A compliance
Focusing on meeting the ruling standards and the right solution, must be taken into consideration when adopting Rule 498A.
Guy Stanzione - Director, SEC Compliance Services
Closed-End Fund rule changes and instructions for SEC Form N-2 filers
The SEC adopted an expansive final rule in March 2020, Securities Offering Reform for Closed-End Investment Companies, designed to streamline...
Jennifer Froberg - Sr SEC Product Specialist
Five steps to integrate print and digital communications: integrated marketing strategy (part 2)
Firms need to find new ways to cut through the digital noise. Still, many remain heavily focused on digitization, shifting...
The value of an effective print and digital communications approach: integrated marketing strategy (part 1)
In today's world, digital-first dominates the communication strategies of Firms across the globe. Study after study shows that COVID-19 has...
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
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...
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...
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...
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...