SPAC Odessy 2021: SOX compliance for new issuers
The rise of the SPAC places a spotlight on compliance requirements for newly public companies. The most arduous compliance demands...
Updates & Insights
On The Dot
Regulatory disclosure and compliant communications - direct from the experts.
Podcast: MIC trends to watch: Advancements and innovations for 2026 [7:26]
On The Dot (episode 11) - A conversation with MIC expert Jason Barnard as he shares key trends to elevate your 2026 Management Information Circular.
Updated: October 1, 2025
How to efficiently produce and manage multichannel communications
As the need for digital transformation has been accelerated over the past year, so has the struggle to find the...
SPAC transactions continue to draw SEC’s attention
SEC has been doling out investor bulletins, disclosure guidance, alerts, and staff statements relating to SPACs for a while now....
Two lies and a truth about SOX compliance management
The lesson here is, oftentimes, people don’t know what they don’t know and are often caught completely flat-footed when it...
Elizabeth Epler Jones, CPA - Partner, AXIA Partners
Importance of personalizing member communications
With one in five consumers feeling the need for a digital detox, the need for well-targeted and personalized content is...
Benefits of multichannel marketing in healthcare
In today’s world, many Payors are challenged with financial reckoning to be more responsible with their cost centers. Marketing and...
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
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)...
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 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