FilePoint

Last month, FilePoint successfully completed Tailored Shareholder Report filing tests with the SEC. Using TSRTrax, we automate the process, from intake to automated iXBRL tagging to delivery. Watch this video to see how TSRTrax can help simplify these reporting requirements. Learn more here: https://lnkd.in/gwP6YWfz

FilePoint is hosting a webinar: EDGAR Next and Amended Form ID: What It Is, and What You Need to Do, on Tuesday, April 8 at Noon ET.?During the webinar, our team of regulatory experts Stephanie Tracey, Tammy Lee and John Galloway will provide an overview of the new requirements, review timing, and provide step-by-step guidance for compliance. Click the link below to register: https://hubs.la/Q03dlH6B0

The new EDGAR Filer Management dashboard is now live. Filers have six months to enroll before compliance is required. The existing EDGAR filing process may continue through September 12, 2025. Click the link below to read the full report. https://hubs.la/Q03d7c7W0

On March 14, 2025, the SEC announced that the compliance date for the amendments to the Investment Company Act or “Names Rule” will be extended to June 11, 2026. The original amendments were adopted back in September of 2023. Click the link below for the full report. https://hubs.la/Q03cmJQ20

On September 27, 2024, the SEC adopted amendments to modernize its Electronic Data Gathering, Analysis, and Retrieval (“EDGAR”) system, referred to as “EDGAR Next.” This change will affect all individuals and entities that file with the SEC. Importantly, as part of this transition, Form ID will be amended to implement the EDGAR Next changes, and the SEC will phase out legacy EDGAR access codes currently used by all filers. Click the link below to read the full report. https://hubs.la/Q03bvVgx0

Thanks to the Expect Miracles Foundation - Financial Services Against Cancer for hosting an amazing gala in Manhattan last week. Hollyn Harris and I had a great time connecting with industry peers and supporting such a great cause. FilePoint #iExpectMiracles #cancerisntfree

On January 8, the SEC’s Division of Investment Management issued new FAQs on the Investment Company Names Rule, which was amended in 2023. These amendments aim to increase shareholder protection by increasing the scope of funds required to adopt a policy to invest at least 80% of its assets based on the investment approach suggested by the fund name, as well as notice and recordkeeping requirements related to these policies. Click the link below to read the full post. https://hubs.la/Q034ntjx0

There was some stiff competition in this year's ViewPoint Partners Ugly Sweater Contest! Big shoutout to this year's winners, Alex Glackin, Brener Utt, Charlie Johnson, and Manning Peeler!

On November 8, 2024, the SEC’s Division of Investment Management’s Disclosure Review and Accounting Office (DRAO) published key takeaways based on their review and monitoring of Tailored Shareholder Report implementation. The staff has identified several recurring issues in this report. https://hubs.la/Q02-y4y40

If you were involved in the latest round of Form N-PX filings, then you may have learned a thing or two about what goes into this updated process. We certainly did. While it’s still fresh on the mind, here are three key takeaways that firms may find useful for next year. Click the link below to see our main takeaways. https://hubs.la/Q02X06BW0