Updates & Insights

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

March 23, 2021

Financial Services

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)...

Toppan Merrill

March 5, 2021

Corporate Compliance

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

February 18, 2021

Corporate Compliance

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

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

FAST Act modernization rule: Highlights for investment companies

On May 2, 2019 the SEC Fixing America’s Surface Transportation Act (FAST Act) Modernization Rule became effective. While most of...

Toppan Merrill

March 29, 2019

Financial Services