Five steps to integrate print and digital communications: integrated marketing strategy (part 2)
Firms need to find new ways to cut through the digital noise. Still, many remain heavily focused on digitization, shifting...
Financial Services
Articles
The value of an effective print and digital communications approach: integrated marketing strategy (part 1)
In today's world, digital-first dominates the communication strategies of Firms across the globe. Study after study shows that COVID-19 has...
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
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...
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...
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...
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...
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...