New Investment Company Names Rule Drives Refined Investment Focus

The SEC has amended the 2001 fund “Names Rule” and the resulting changes likely affect a fund’s investment policy, disclosures and reporting obligations. The original rule addressed certain broad categories of investment company names that can mislead investors about the company’s investments and risks. The recent amendment significantly expands the scope of the original ruling.

Cloud Solutions for Efficient ACFR and Government Financial Reporting

Struggling with complex Annual Consolidated Financial Reports, (ACFR), Budgeting, and other reporting tasks? Cut through the tangle of financial reporting with effective government financial reporting software. Expect to find practical insights into cloud-based innovations and collaborative techniques that bring simplicity and precision to your ACFR, Budget and other reporting process, meeting the pressing demand for compliance and accuracy in financial and other disclosure.

SEC Approves New SPAC Rules and Amendments to Enhance Investor Protections

Last Wednesday, the Securities and Exchange Commission (SEC) voted 3-2 to adopt rules that make SPAC (Special Purpose Acquisition Company) deals similar to traditional IPOs. 

The SEC Private Fund Advisers Rule – Key Takeaways

The SEC finalized the Private Fund Advisers Rule on November 13, 2023. DFIN has been closely reviewing all aspects and interpretations, as well as the impact on the industry and end investor.

Want Cyber Safety? Focus on Your Data

DFIN CISO, Dannie Combs, talks with Katie Kuehner-Hebert of StrategicCIO360 about how IT professionals can best protect their organizations. 

In a Q&A, they discuss risk management strategies, how organizations can get better visibility into their data, why managing identities is such an important part of an organization’s cybersecurity strategy, and the latest data regulations companies need to be aware of.

Investment Companies 2024 Outlook

As we reflect on 2023 and look toward 2024, it’s clear that the fintech industry is experiencing an unprecedented period of change in terms of regulatory proposals, technology and data. In this article, Eric Johnson, DFIN’s president of Global Investment Companies, shares his view on the key factors shaping the industry now.

SEC regulations and the rise of structured data

During the last few years, we’ve seen both the volume and the pace of SEC regulations increase exponentially, with no slowdown in the immediate future.

Form N-CSR Share Repurchase Disclosure iXBRL Mandate

Listed closed-end fund shareholder reports dated June 30, 2024, may have to comply with more than one XBRL mandate

Currently, Form N-2 registrations that are filed pursuant to General Instruction A.2 must tag applicable prospectus disclosure items using inline XBRL (iXBRL), which are included in Form N-CSR using the Closed-End Fund (CEF) taxonomy.

CEO & CISO: A Critical Partnership for Data Management

In his new SecurityInfoWatch article, Craig Clay discusses the exponential growth in cyberthreats and how a partnership between the CEO and CISO holds the key to defeating those threats. Working together, they can master two essential components of an effective cybersecurity strategy, data management and risk mitigation, to defend the company’s critical assets.

Three Risk Mitigation Strategies to Address the Latest Data Security Threats

In his latest article in Cybersecurity Insiders, Dannie Combs, Senior Vice President and CISO at DFIN, outlines three risk mitigation strategies to help organizations get a better handle on the latest security risks and threats to data. These include knowing and understanding your legal and regulatory obligations, maintaining a strong identity and access management (IAM) framework, and staying vigilant about security vulnerabilities in Artificial Intelligence (AI) chatbots.

An Early Lesson in Leadership Changed My Perspective on How to Treat Others

Featured in Strategic CHRO, Dawnet Beverley, Executive Vice President of Global Capital Markets at DFIN, shares her insights on treating people with kindness in the workplace and how it can impact your employees and your business.