Navigating the SEC Name Change Ruling
In a move that promises to reshape the landscape of the financial industry, the U.S. Securities and Exchange Commission (SEC) has finalized a...
Regulation
Investment Funds Explore Name Changes as SEC Takes Aim at Greenwashing
Ethical investing has soared in popularity as awareness of environmental, social and governance (ESG) factors has grown among both retail and...
Updates to SRD II: Recommendations from the ESMA and EBA Review
Financial regulators in Europe have reviewed the functioning of SRD II, with input from issuers, investors and intermediaries. Areas for improvements...
T+1: Why This Time Feels Different from T+2
Learn the genesis of each shortening of the settlement cycle, why T+1 is an event-driven mandate with a higher degree of complexity, and more.
Q&A Blog Series: A True End-to-End Shareholder Meeting Solution
Unlike annual shareholder meetings, special meetings of shareholders are called only when a significant, urgent matter arises that needs shareholder...
Q&A Blog Series: The Role of Security, Risk and Compliance Inside and Outside the Company
In today's age of high-profile data breaches and rapidly evolving regulatory landscapes, security, risk and compliance (SRC) professionals have their...
SEC Insider: New SEC Rules for Universal Proxy Cards
In SEC Insider by DFIN, Jean Luther, Mediant Director of Compliance, and Ron Schneider, DFIN Director of Corporate Governance Services, discuss...
The ABCs of the New Universal Proxy Rule
In November 2021, the Securities and Exchange Commission (SEC) approved a new rule that requires organizations to share proxy cards for contested...
| January 3, 2024
“If you can’t keep up, you can’t play” is a schoolyard taunt now echoing across wealth management. The pace of change in our industry has been remarkable and continues to accelerate. We are at the apex of a steepening demand curve driven by a new generation of investors who require easy access to near real-time information delivered with context and substance.
