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On The Dot

Regulatory disclosure and compliant communications - direct from the experts.

Podcast: ETF issuer interest remains high [14:04]

On The Dot (Episode 12): The ETF share class structure represents a significant modernization in the asset management industry. Investors are drawn to ETFs for their relatively low cost, intraday tradability, transparency, tax efficiency, and exposure to specific markets or strategies.

Updated: December 18, 2025

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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

January 27, 2021

Corporate Compliance

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

Financial Services

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...

Toppan Merrill

November 17, 2020

Financial Services

The golden repository: centralizing marketing communication technologies to improve productivity, efficiency and compliance

Your plan's ability to communicate effectively internally and with members is key. While marketing technology stacks aim to make complicated...

Toppan Merrill

November 3, 2020

Health Plans

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...

Toppan Merrill

October 9, 2020

Financial Services

Consumer Choice Drives Payer Modernization

As consumers take on more responsibility for the cost of care, payers are racing to catch up to consumer-driven industries...

Toppan Merrill

September 24, 2020

Health Plans

SEC Rule 498A impact on variable annuity / variable universal life companies

The Securities and Exchange Commission adopted Rule 498A, including form amendments, which intends to modernize disclosure requirements and allow investors...

Toppan Merrill

July 26, 2020

Financial Services