Updates & Insights

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...

April 19, 2021 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...

April 13, 2021 Toppan Merrill

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...

April 1, 2021 Toppan Merrill

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...

March 23, 2021 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)...

March 5, 2021 Toppan Merrill

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...

February 18, 2021 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...

January 27, 2021 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...

January 21, 2021 Toppan Merrill

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...

November 17, 2020 Toppan Merrill

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...

November 3, 2020 Toppan Merrill