Guides

SEC Investment Company Reporting Modernization

SEC Investment Company Reporting Modernization

While many investment managers have started their journey towards compliance, others have struggled. The new requirements can be daunting for a firm because they create the prospect of disparate data sources, nascent data governance programs, and stretched operational support on top of the need to run a highly competitive business. 

This guide discusses the background of the SEC’s Investment Company Reporting Modernization Rules and the potential effects on individual financial institutions, including:

  • Why the SEC established new rules
  • What the rules entail and require
  • How to create an SEC response program

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