Navigating the annual proxy season Proxy season is a critical time for companies and investors. Understanding key trends, regulatory updates, and best practices can help... Mike Spelman April 24, 2025 Corporate Compliance
SEC modernizes investor communication with Tailored Shareholder Reports (including iXBRL) On October 26, 2022, by a vote of 5-0, the SEC adopted amendments to the requirements for Annual Report and... Guy Stanzione - Director, SEC Compliance Services November 17, 2022
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... Toppan Merrill January 21, 2021
SEC Rule 30e-3 is now effective As of January 1, 2019, Rule 30e-3 officially became effective. Rule 30e-3 creates an optional “notice and access” method for... Toppan Merrill January 18, 2019