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On June 5, 2024, a petition for review was filed with the United States Court of Appeals for the Fifth Circuit vs the Securities and Exchange Commission (SEC). As a result, this rule affecting Private Funds has been vacated. The final ruling was that the SEC had exceeded its statutory authority in adopting the Final Rule

The Tailored Shareholder Reports ruling is transforming the industry. With significant operational changes in multiple compliance areas, it is important for companies to solve for these complexities ahead of the July 2024 compliance date.

In DFIN’s new podcast, Brian Lynch, Vice President, Solution Services, and Joe Wash, Solution Services Expert, discuss the importance of web hosting and ADA compliance and why companies should be planning for their solution today.

The SEC finalised the new Tailored Shareholder Reports Ruling on October 26, 2022. The final ruling had several notable changes from the original proposal and presents significant changes for the industry.

In fact, the SEC estimates that new ruling will impact nearly 12,000 funds/ETFs and 32,000 share classes.

Understanding the ruling can be both complex and time consuming. DFIN has been closely reviewing all aspects and interpretations, as well as the impact on the industry and end investor.

Keeping track of EDGAR filing deadlines, peak periods and market holidays is always a challenge. With the new year quickly approaching, we’ve made the planning process a bit easier with our new 2023 Investment Companies Regulatory Calendar to keep you better informed and on track.

Donnelley Financial Solutions  Ranked as #59 Among U.S. Companies Recognized for Employee Sentiment and Satisfaction

In recent years the FinTech industry has experienced significant changes on every front, from increased regulatory requirements to growing investor expectations. In this article, Eric Johnson, DFIN’s president of Global Investment Companies, addresses the top issues facing fund and asset companies heading into 2022.

At this time last year, the outlook for 2021 was heavily influenced by the global pandemic and how FinTech companies were pivoting to meet shifting needs. How did DFIN see that play out over the last 12 months?

In recent years, the hedge fund and alternative investments market has grown exponentially, representing over 20,000 funds in the U.S. and over 22,000 in the EU. With increased regulatory pressures, traditional spreadsheets and Word documents simply can’t meet today’s complex compliance regulations. ArcReporting streamlines the reporting process to drive efficiency and reduce risk.

ArcReporting helps you manage the growing challenges of producing shareholder reports for clients and auditors by automating reporting and improving consistency.