RILA: The next steps for compliance
After the conclusion of the initial conversion cycle for the use of amended Form N-4, topics emerged from issuers that...
Guy Stanzione - Director, SEC Compliance ServicesInvestment Company Compliance
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Guy Stanzione - Director, SEC Compliance Services
Beyond technology: The discipline behind exceptional SEC filings
Regulatory disclosure is complex and constantly evolving. SEC filers need a partner with deep expertise, a disciplined process and responsive...
Al Cutrone - Client Services, Vice President
Podcast: ETF issuer interest remains high [14:04]
On The Dot (Episode 12): The ETF share class structure represents a significant modernization in the asset management industry. Investors...
Guy Stanzione - Director, SEC Compliance Services
EDGAR Next is live. What’s next?
Now that the EDGAR Next enrollment compliance date has passed, what's next? Learn more about final compliance steps and additional...
Jennifer Froberg - Sr SEC Product Specialist
ETF issuer interest remains high even as challenges persist
Exchange Traded Funds (ETFs) have been a hot topic for years, with the discussion accelerated by the interest to expand...
Guy Stanzione - Director, SEC Compliance Services
Securities Act of 1940: Rules and requirements summary
The investment company industry relies on clear, consistent disclosures to meet the ’40 Act regulatory requirements. This guide outlines the...
Guy Stanzione - Director, SEC Compliance Services
Navigating the compliance landscape for Investment Management Companies
The Investment Company Act of 1940 requires mutual funds to submit prospectuses, shareholder reports, and Form N-PX filings with the...
EDGAR Next for ’40 Act filers
On Sept. 27, 2024, the SEC announced the EDGAR Next final rule which significantly impacts all SEC filers. Filers began...
Gordon Ruckdeschel - Vice President, Compliance Services and Funds