Thought Leadership  •  August 13, 2020

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Total Compliance Management – Frequently Asked Questions

What is Total Compliance Management?
Total Compliance Management is DFIN’s holistic approach to providing a customized, audit-traceable and centralized compliance program. It leverages DFIN’s ArcDigital and ArcPro solutions to efficiently adhere to complex components of SEC regulations.

Why is compliance more important now?
As your company moves toward meeting new regulations such as SEC rule 30e-3 or rule 498A, communicating with a wide range of diverse investors in digital channels is more important than ever before.

Backed by DFIN experience, service and expertise, Total Compliance Management can accelerate your organization and provide you with a one-stop ecosystem to meet all of today’s modernization challenges.

What services does Total Compliance Management offer?
DFIN is leveraging two existing, proven systems to offer Total Compliance Management—ArcDigital for content delivery and ArcPro for content creation. These are integrated systems that feed common finalized information. The DFIN service team manages all program fluidity (fund lineups, new products, product-to-fund relationships, filings, book combos), confirms validity of linking and ensures final versions are all correct. 

ArcDigital is DFIN’s multi-channel content delivery solution. It provides access to DFIN’s digital asset repository to house your compliance materials, which can then be distributed via eDelivery and automated workflows, or ordered via DFIN’s intuitive storefront. DFIN is also a market leader, providing web hosting of graphic-rich documents—with no reformatting required—to more than 200 sites for insurance and asset managers. DFIN’s ArcDigital will help modernize and solve 30e-3 and 498A delivery challenges.

ArcPro is our shared content platform, totally owned and developed by DFIN. With thousands of users, ArcPro is the dominant industry solution. We service over 10,000 funds and 2,000 variable products, heavily investing in it to automate and update regularly. ArcPro is critical to 498A, which includes automated creation of the ISP, USP and embedded linking capabilities, as well as iXBRL. 

What can Total Compliance Management do for my business?
Total Compliance Management will allow you to:

  • Save on costs. Total Compliance Management has a fixed, predictable, transparent cost model with no surprises.
  • Streamline and automate the creation, management and distribution of your prospectuses, reports and other documents.   
  • Prepare and solve for current and future SEC regulations.

Why should I partner with DFIN?
DFIN is an expert in content creation, management, distribution and web hosting, which are cornerstones for operationalizing the new SEC rules. We are client focused and have an intimate understanding of complete product/fund relationships and needs. In fact, filing experience and infrastructure is at the core of our business. DFIN dominates the market for ’40 Act filing and currently files more than 44% of the total universe of funds and products with the SEC. 

How do I get started with Total Compliance Management?
Put the integrated power of the Arc platform to work for your organization today by scheduling a demo or contacting your sales representative. 

To learn more, download the fact sheet below.

Total Compliance Management - Facts and Frequently Asked Questions