Investor communications insights for brokers, issuers and funds

6 Areas to Consider When Choosing an Investor Communications Partner

As brokers look to modernize their investor communications programs, they grapple with many issues, including: a challenging regulatory environment, increasing advisor and customer expectations, and...
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SEC Proposes Amendments to Improve the Retail Investor Experience

In August, the Securities and Exchange Commission (SEC) announced the proposal of comprehensive modifications to the mutual fund and exchange-traded fund disclosure framework to improve the experience for...
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SEC Proposes New Amendment to Rule 30e-3 Impacting Open-End Funds

In early August, the Securities and Exchange Commission (SEC) proposed an amendment to Rule 30e-3 that would impact future shareholder reporting for open-end funds by offering a more effective way for...
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Is Your Brokerage Ready for SRD II?

Starting September 3rd, the European Union (EU) is implementing the Shareholder Rights Directive II (SRD II), an update to its 2007 set of regulations that aims to encourage shareholder engagement,...
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Providing Equal Access to Shareholders with Virtual Annual Meeting Solution

From weddings and concerts to industry conferences and shareholder meetings, large gatherings have been impacted by coronavirus-related restrictions. In fact, most S&P 500 companies this year moved their...
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Robo-Advisors are Thriving Despite Volatility in 2020

Nearly a decade ago, the first robo-advisors emerged to help investors manage their personal assets through digital platforms that provide automated, algorithm-driven financial planning services with...
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