Investment Company Compliance Services

Your dedicated team includes regulatory experts, operation leads, and service professionals who understand your culture, deadlines, and expectations. This team provides the optimal service model for investment company and other ’40 Act filers. We build around your workflow — not the other way around.

The team has expertise in SEC regulations, document assembly and shareholder communications, delivering value through a collaborative support model to manage the overall process and workflow. We listen to what’s important to you and support your priorities with our experience.

Industry knowledge integrated with an understanding of your important milestones allow us to proactively plan for peak activity seasons without losing sight of periodic events that occur throughout the year.

Leverage a single-source composition platform to create, duplicate and edit regulatory documents in accordance with SEC regulations, while maintaining brand standards.

Enhanced composition delivers multiple output types from a single source of truth. Our full-service composition platform enables simultaneous output of print and web ready PDFs and SEC compliant html, assembled to meet regulatory and business needs.

Dynamic automated component assembly creates output based on need and can be leveraged to reuse content across multiple documents and filing submissions. Whether a final PDF or components of an EDGAR filing are required, systematic assembly eliminates human error to generate the required output.

Annual on-time performance = 99.56%

Our EDGAR solution pairs industry expertise with purpose-built technology platforms to generate SEC compliant HTML, xHTML and XML to meet all regulatory requirements. Utilizing our dynamic assembly platform to assemble the multiple documents required in an SEC filing minimizes the risk of error and reduces turnaround time to generate an EDGAR submission.

Annual EDGAR filing success rate = 99.96%

Annual on-time performance = 99.71%

’40 Act XBRL tagging expertise. Since the initial inception of the Risk/Return Summary, Toppan Merrill has been a trusted service provider, keeping abreast of SEC requirements for all required filing form types and XBRL taxonomy updates. Purpose-built technologies ensure proper tag selection for each of the required taxonomies. Plus, benefit from an integrated XBRL dashboard that includes an online collaboration portal with automated notifications and alerts.

Using a platform tailored specifically for your line of business is essential for timely, efficient and accurate document production and output.

A customizable, compliant, investor-friendly platform for delivering fund documents — ADA-compliant, brand-consistent, and secure.

With the ever-changing demands for meeting regulatory and business requirements for investor communication, delivery and webhosting needs, Publishing Center provides a customizable, branded solution that meets all SEC requirements and removes the challenge of client resource limitations. Publishing Center is document agnostic and supports webhosting of any document type. Customized sites meet client brand standards and regulatory requirements to provide an exceptional user experience.

Developed to meet SEC requirements, Publishing Center meets all regulatory requirements for layered disclosure, internal and external document linking, “mouse-click” rules, ADA compliance, document navigation, download, print and document ordering. Whether we provide fulfillment services for orders placed on our sites or the orders are transmitted to a third-party provider, Publishing Center is configured to meet compliance standards for all regulatory deadlines.

Supported lines of business and use cases:

• Open-End Funds / ETFs – Summary Prospectus Rule 498, Tailored Shareholder Report
• Closed-End Funds – Shareholder Report Rule 30e-3
• Variable Products / RILA – Summary Prospectus Rule 498A, Tailored Shareholder Report
• Proxy Disclosure (as required) – Open-End Funds, Closed-End Funds, Variable Products / RILA

Dynamically create, duplicate and edit regulatory documents utilizing a shared content library and variable content to maximize content reuse and minimize document editing. Whether managing a new fund launch or preparing annual updates, Toppan Merrill provides end-to-end support throughout the entire process. Deep understanding of the regulatory framework, combined with the ability to adapt to your specific business needs and workflows, ensures the resource and operational backstops needed to meet deadlines and production milestones.

In addition to our ’40 Act focused service and operations teams, the SEC Compliance Services team works closely with the SEC staff and industry groups to provide interpretative guidance in a direct partnership with clients on the impact of those regulations.

Add investor and member value through improved content accessibility.

Accessibility compliance can expand your reach and elevate your impact, creating a seamless bridge between regulatory standards and company governance to ensure inclusivity for everyone with and without disabilities.

Our team collaborates with you to review documents and website content, supporting your compliance efforts while minimizing reputational and litigation risks. We support the Americans with Disabilities Act (ADA and Section 508), Accessible Canada Act (ACA and AODA), and the European Accessibility Act (Directive (EU) 2019/882).

Toppan Merrill is committed to foster a culture of accessibility to help promote an equitable digital experience. Our approach includes dedicated resources, expert-led specialists, accessibility-first design, and technical validation that meets both WCAG 2.1 AA and PDF/UA (ISO 14289-1) standards.

Annual document remediation (Year-over-year growth) = 23%

Deliver personalized, rule-based shareholder communications.

Our dynamic document assembly solution is a purpose-built platform that meets regulatory communication requirements by providing personalized, portfolio-specific shareholder communication.

Individual shareholders receive portfolio-specific Prospectuses, Shareholder Reports and Supplements specific to the products they’re invested in. Based on business rules, documents are dynamically produced and automatically assembled and distributed through the designated paper based or electronic delivery method, optimizing manufacturing and postage costs.

The document sourcing module allows insurance companies who offer variable life and annuity products to distribute fund holding documents under the regulatory requirements in a timely manner.

Document sourcing brings assurance that any changes or modifications to fund documents are captured in real time.

Modern delivery, investor preferences tracked and managed.

Although delivery of printed materials is still the default for documents regulated by the SEC, our eDelivery platform supports event processing, as well as one-off requests for investors who consent to electronic delivery.

Toppan Merrill Delivery Preference Center (DPC) tracks and stores delivery preferences and preference changes for efficient document delivery management and reporting.

The right equipment to maximize efficiency.

Integrated digital and offset print platforms support speed, quality and efficiency for projects of every size and scope. Toppan Merrill will guide you through the manufacturing process, identifying cost savings and manufacturing efficiencies by selecting the right equipment for the right job.

We partner with you to process mailings efficiently to apply the highest possible discounts.

Maximize USPS postage discounts through our National Change of Address (NCOA) certified mail services and CASS certify addresses to ensure compliance with USPS discount requirements, improve delivery rates and realize manufacturing efficiencies. Postage discount levels vary based on mail quantity, list concentration and mailing method – such as presort, comingling, first-class, or marketing mail.