SEC Modernization – Evaluating Options Starts the Solution

Evaluate Your Options for SEC Modernization One of the primary initiatives in meeting the requirements for SEC Modernization is evaluating the alternative solutions in the marketplace.  There are many vendors and service providers that are offering technology solutions and managed services to support the data collection, preparation, creation, and filings for forms N-PORT and N-CEN.  [...]

By | April 28th, 2017|SEC Modernization, Uncategorized|0 Comments

Where to Start SEC Modernization

Strategic Steps to Prepare for SEC Modernization As the industry is aggressively working towards meeting the new reporting rules, amendments and requirements under the Investment Company Reporting Modernization ("SEC Modernization") guidelines, firms are taking strategic steps in preparing for the compliance deadline of June 1st, 2018 for implementation of Forms N-PORT and N-CEN for funds [...]

By | March 23rd, 2017|SEC Modernization, Uncategorized|0 Comments

Are You Ready? SEC Modernization: Key Dates are Approaching

In October of 2016, the SEC finalized rules for SEC Reporting Modernization with the first transformational impact to the asset management industry around financial reporting impacting registered investment companies (40 Act Funds) to occur on June 1, 2018 for funds with AUM greater than or equal to $1 billion with the compliance date for Form [...]

By | March 9th, 2017|SEC Modernization, Uncategorized|0 Comments

SEC Modernization Highlights

Key Dates and Sample Strategy

By | March 1st, 2017|SEC Modernization, White Papers|0 Comments