Updates & Insights

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

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...

September 24, 2020 Toppan Merrill

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...

July 26, 2020 Toppan Merrill

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...

March 29, 2019 Toppan Merrill

SEC Rule 30e-3 is now effective

As of January 1, 2019, Rule 30e-3 officially became effective. Rule 30e-3 creates an optional “notice and access” method for...

January 18, 2019 Toppan Merrill

Consequences and penalties for late SEC regulatory filings and common errors

A study reported by The Wall Street Journal in September 2018 shows an uptick in corporate financial restatements during the...

November 9, 2018 Toppan Merrill