Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

3 Ways Content Management Can Aid in Process Automation

Process automation may have started proving its worth with tasks such as billing and payroll, but a wide range of actions can, with some initial setup, essentially take care of themselves. How does this apply to content management? We’re glad you asked…

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Financial Printing, Content Management and You

Recently, we’ve spent some time focusing on changes in the financial printing space, and what printers should offer companies in response. It’s time to turn our attention to the company side of the equation. More specifically, let’s take a look at some of the factors that can enable a content management system (CMS) to best take advantage of the new era of financial printing?

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The Essential EDGAR Filing Resources – Plus One

In the middle of filing compliance and disclosure forms with EDGAR, users are known to stop and ask, in a frustrated tone, “Where is that information from last year that I need to get this done?”

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Will Changes at the SEC Result in Tangible Policy Shifts?

Politics is always a major player in financial policy, though sometimes its influence is more or less apparent. Currently the role of politics in finance is front and center – with significant potential changes on the horizon. With two pending nominees to the five-person Securities Exchange Commission (SEC) and financial regulation promising to be an active topic in the upcoming 2016 elections, are we likely to see tangible changes sooner or later?

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SEC Plans Its Toughest Cybersecurity Investigation Yet: How to Be Prepared

The Securities and Exchange Commission (SEC) is about to begin a new round of investigations of financial companies regarding their data safety practices and policies. Several factors demonstrate why this inquiry promises to be more rigorous – and have more serious potential consequences – than previous inquiries we’ve seen from the SEC:

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How A CMS Can Help with Healthcare’s Unique Content Needs

Healthcare is truly an industry in flux. Corporate mergers and acquisitions, changing patient expectations, tech innovation and countless other factors require new types of collaboration between industry segments as well as new uses of content.

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Content Control in a Diverse Healthcare Environment

There’s no question that shared data across the industries that comprise the healthcare sector improves efficiency, accuracy and satisfaction. As healthcare companies grow bigger than ever through corporate mergers and acquisitions, data integration is happening on an unprecedented scale, with great benefits.

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How Can Content Control Help Mutual Fund Data Security?

IT security for mutual funds is getting even more attention than usual due to the Securities and Exchange Commission’s (SEC) announcement of their 2015 Cybersecurity Initiative. The agency will investigate and evaluate selected investment advisers on their implementation of cybersecurity policies and practices. Analysts expect the SEC’s efforts the rest of this year and next to prompt more enforcement actions than in previous years.

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Content Control: Tricks for Using Your CMS for Workflow Management

Whether your company is working harder to meet demand or working harder to try to increase demand, you wish there was a way to make operations more efficient. The trouble with many methods of increasing productivity is that they require quite a bit of work themselves.

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Mutual Funds and Document Automation: A Match Made in Content Heaven

To be successful, financial professionals are required to become experts in many complex subjects and specialized processes. Think of what happens when say a mutual funds analyst tries to explain a moderately complicated work situation to a friend or family member with no background in the field… Eyes glaze over.

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Content Control: Yes, You Can Make EDGAR Filings Easier

There is a category of things in life that are simultaneously essential for basic functioning and the source of great frustration and stress. Most people would agree that the Security and Exchange Commission’s (SEC) EDGAR filing system falls into this category. EDGAR’s layers of access codes, naming conventions, and much more often make an already unpleasant task (filing) even harder. Fortunately, recent tech innovations offer improved ways of making EDGAR interactions easier – as part of integrated content management systems (CMS). Here are some of the CMS features available that can help:

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