Thought Leadership  •  January 25, 2024

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Total Compliance Management - Everything you need to meet today’s modernisation challenges

What is Total Compliance Management (TCM)?

Total Compliance Management (TCM) is DFIN’s holistic approach to providing a customised, audit-traceable and centralised compliance program. It allows clients to adhere to complex components of SEC regulations while seamlessly integrating ADA compliance into the web hosting experience.

What services does TCM offer?

DFIN brings together content creation and content delivery to offer TCM. The DFIN service team manages all program fluidity (fund lineups, new products, product-to-fund relationships, filings), confirms validity of linking and ensures final versions are all correct.

Why is compliance more important now?

As your company moves toward meeting new regulations such as the Tailored Shareholder Reports rule, communicating with a wide range of diverse investors in digital channels is more important than ever before. Backed by DFIN experience, service and expertise, TCM can accelerate your organisation and provide you with a one-stop ecosystem to meet all of today’s regulatory challenges.

What can TCM do for my business?

TCM will allow you to:

  • Save on costs. TCM has a fixed, predictable, transparent cost model with no surprises.
  • Streamline automated workflows, including the creation, review, management and distribution of your prospectuses, reports and other documents.
  • Prepare and solve for current and future SEC regulations.

How does the TCM solution leverage the full suite of DFIN products?

If your firm currently utilises an Arc Suite product, certain synergies will exist between it and your TCM needs via DFIN's seamless integration process.

Why should I partner with DFIN?

DFIN is an expert in content creation, management, distribution and web hosting, which are cornerstones for operationalising 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 are at the core of our business. DFIN dominates the market for ’40 Act filing and currently files approximately 40% of the total universe of funds and products with the SEC.

How do I get started with TCM?

Put the integrated power of our end-to-end solution to work for your organisation today. For a free consultation, visit DFINsolutions.com.

To learn more, download the fact sheet below.

Total Compliance Management - Facts and Frequently Asked Questions

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