FilePoint provides full-service regulatory disclosure solutions to the financial services industry, including EDGAR and iXBRL filing, typesetting, printing, document hosting, and web development services for registered investment companies and investment advisers.
Full document conversion and filing services for investment companies and investment advisers.
High-quality documents delivered quickly and accurately—including prospectuses, financial reports, fact sheets, and marketing pieces.
iXBRL experts to guide clients through the iXBRL process with accuracy, a quick turnaround time, and deep technical knowledge.
Our fulfillment platform and print expertise can provide considerable efficiency for your printing and mailing needs.
A full solution for SEC modernization reporting requirements.
Fully compliant websites with limitless customization for funds, ETFs, and investment advisers.
Automation of the production of customized fact sheets, producing high-quality output quickly.
In addition to creating web-ready files with bookmarks and required links between documents, we host any documents on a customized webpage with links to view, download, and request printed copies.
Fulfillment of the daily posting requirements specific to ETFs by seamlessly automating data feeds into an existing website.
FilePoint’s high-quality, high-touch regulatory disclosure solutions are always expanding to keep up with the needs of investment companies, mutual funds and investment advisers.
Visit FilePoint SiteCheck out our Flash Reports for the latest SEC- and compliance-related news, trends, and insights.
On April 23, 2024, the White House announced that the Department of Labor (“DOL”) has finalized its Retirement Security Rule, also known as the “Fiduciary Rule.” The new rule extends the current definition of “investment advice fiduciary” under ERISA to include advisers when they “give investment advice for a fee to retirement plan participants, individual retirement account owners and others.” The rule and related exemptions will be effective on September 23, 2024, with a phase-in period for many of the exemptions and reporting requirements of one year until September of 2025.
On April 17th, 2024, the Division of Examinations (“EXAMS”) published a risk alert to inform investment advisers, investors, and other market participants about the examiner’s observations on the Marketing Rule. This risk alert highlights the Division’s focus on advisers’ compliance with the marketing rule and their completion of the marketing rule items contained in Form ADV as well as Advisers Act Rule 206(4)-7 (the “Compliance Rule”), Advisers Act Rule 204-2 (the “Books and Records Rule), and the Marketing Rule’s “General Prohibitions”.
