Updates & Insights

What is the purpose of the Management Information Circular in Canada?

The Management Information Circular (MIC) plays an important role in Canadian corporate governance, serving purposes beyond regulatory requirements. The MIC...

Jason Barnard - Business Development Manager, Canadian Compliance

October 18, 2024

Corporate Compliance

EDGAR Next: How to navigate the SEC rule and requirements

On September 27, 2024, the SEC announced the EDGAR Next final rule. In this blog, Jennifer Froberg shares an overview...

Jennifer Froberg - Sr SEC Product Specialist

October 14, 2024

Corporate Compliance Financial Services

Important Update: After-hours filings status change for fee bearing submissions effective September 16, 2024

The SEC has issued an update regarding a status change for after-hours fee-paying filings, which will take effect in September...

Theresa Jasper - Senior SEC Product Specialist

October 14, 2024

Corporate Compliance

Navigating the 2024 CMS Final Rule changes: what they mean for member communications programs

Open enrollment is just around the corner, and with it comes significant changes to how MAOs manage their member communications....

Jen Trewick - Principal Product Manager

October 10, 2024

Health Plans

Schedule 13D and Schedule 13G: Key challenges and considerations for the XML mandate

The new SEC mandate requiring Schedule 13D and 13G filings to be submitted in an XML format, effective December 18,...

Eva Schaeffer

October 9, 2024

Corporate Compliance

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...

Guy Stanzione - Director, SEC Compliance Services

October 1, 2024

Financial Services

Navigating the new SEC Form SHO: What every 13F filer needs to know

13F filers who meet specific requirements will need to report short positions to the SEC monthly, beginning in 2025, on...

Jennifer Froberg - Sr SEC Product Specialist

September 6, 2024

Corporate Compliance

The impact of SEC rulemaking on Business Development Companies

In March 2020, the SEC adopted rules modernizing disclosure and the offering process for Closed-End Funds (CEF) and Business Development...

Guy Stanzione - Director, SEC Compliance Services

August 21, 2024

Financial Services

PCAOB spotlights and trends for internal controls

Elizabeth Epler Jones, Partner at AXIA Partners, shares an overview of the 2024 PCAOB inspection priorities for external audit firms,...

Elizabeth Epler Jones, CPA - Partner, AXIA Partners

August 21, 2024

Corporate Compliance

Perspective from when airport systems went down and confusion unfolded. Life’s twists and turns can teach us valuable ADA lessons.

Understanding the importance of accessibility will help benefit your investors and customers. Learn how the airline's software malfunction can show...

Gary Iverson

August 15, 2024

Capital Markets Corporate Compliance Financial Services Health Plans