Investor communications insights for brokers, issuers and funds

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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Compliance and Risk Management Vigilance in the Era of COVID-19

Since the 2008 financial crisis, substantial resources have been allocated to risk management and compliance functions as financial services firms have sought to ensure compliance and financial stability...
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