REGULATORY DISCLOSURE FOR INVESTMENT MANAGEMENT & INSURANCE COMPANIES

Transform & Publish Regulatory Communications with Confidence.

Keeping up with the ever-changing requirements of regulatory disclosure and financial reporting can be extremely challenging. When errors can lead to serious consequences, a partner like Toppan Merrill eases the burden of juggling ever-evolving regulatory requirements and tight deadlines.

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Prospectus and Periodic & Interim Reporting

Toppan Merrill offers a unique combination of technology and stand-alone services that provides a fast, efficient route to prepare, file, and communicate your regulatory and shareholder documents. We help you find the right combination of technology and services to fit your needs.

Prospectus:

  • Registration Statements
    • Initial Pre- & Post-Effective Amendments
  • Summary Prospectuses
  • Supplements (stickers)

Periodic & Interim Reporting:

  • Annual/Semi-Annual Reports
  • Portfolio Holdings

Entities Served:

  • Open-End Funds
  • Closed-End Funds
  • ETFs
  • Variable Annuity & Variable Life Products
  • Business Development Companies

Successfully Navigate the Regulatory Disclosure & Communications Process

From initial registration of new investments and variable insurance products to ongoing regulatory reporting
and shareholder communications, Toppan Merrill is with you every step of the way.

Prepare

Content Control, our state-of-the-art cloud-based component content management solution (CCMS) streamlines and simplifies your regulatory document management processes. Reuse and connect content across many document types helping legal, compliance, and other teams collaborate and operate more efficiently.

  • Stylize, manage, edit, and proof in a single solution as well as publish outputs in many formats to meet all your composition and typesetting needs.
  • Generate EDGAR compliant documents along with XBRL, including iXBRL.

We also provide composition (typesetting), EDGAR, and XBRL/iXBRL services on a stand-alone basis to fit your needs.

File

As a full-service SEC filing agent, Toppan Merrill offers quick, efficient and cost effective filing services or provide final documents for self-filing.

Communicate

Publishing Center, our end-to-end website document hosting solution for regulatory and marketing documents ensures website compliance adherence providing improved investor engagement and experience. Publishing Center supports communication delivery requirements outlined in SEC Modernization Disclosure Rules 498A for variable products and 30e-3 capturing and managing shareholder preferences.

Industry-leading offset and digital printing, mail and fulfillment are done with precision, speed and control. Your regulatory and shareholder communications are printed and distributed exactly to your specifications. Our integrity delivery optimization technology provides email bounce to print capabilities to ensure delivery of communications.

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Content Control

Toppan Merrill Content Control is an innovative, cloud-based content management platform and output system that enables highly efficient and collaborative creation, typesetting and publishing of all financial documents and EDGAR filings. Content Control uses next-generation technology to revolutionize content creation and working group collaboration.

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Publishing Center

From web publishing to electronic delivery needs, Toppan Merrill Connect’s Publishing Center solution provides the support you need to set yourself apart from the crowd. Our end-to-end solution simplifies website implementation and regulatory updates, helping companies provide investors easy access to information and documents. Publishing Center is also document agnostic, supporting all website hosting needs and document types.

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Compliance Center for Variable Products

Our solution provides daily online monitoring of SEC filings, delivering the most current documents. By utilizing Compliance Center you can create and manage your document library utilizing your branding standards, analyze your shareholder base to determine the most advantageous delivery methods, and distribute personalized documents via mail or, with stakeholder consent, electronic delivery.

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Preference Center

With Preference Center, Toppan Merrill can help facilitate each of the needed response methods outlined by the SEC, including handling potential call volume spikes due to regulatory mailings and “catch-up” disclosures, establishing the means for your Shareholders to set and change delivery preference online, supporting requests via e-mail, and handling the business reply mail when notices begin to be mailed.

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INSIGHTS

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