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 PartnersUpdates & Insights
On The Dot
Regulatory disclosure and compliant communications - direct from the experts.
Podcast: SEC Section 16 requirements for Foreign Private Issuers beginning March 18, 2026 [7:27]
On The Dot (Episode 13) - A conversation with Jennifer Froberg on the new requirement for officers and directors of Foreign Private Issuers to comply with SEC Section 16 reporting beginning March 18, 2026.
Updated: January 27, 2026
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
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...
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...