Regulatory Disclosure for Investment Management Companies

Revolutionize the way you create, file and deliver regulatory documents, and increase accuracy, efficiency and throughput.

Entrust the production, filing and distribution of your shareholder communications to Merrill. With nearly 50 years of industry experience, our unparalleled subject matter expertise along with best-in-class reporting software will help you navigate the demands of ever-changing disclosure requirements.

SEC Investment Company Reporting Modernization Help Sheet

On October 13, 2016, the SEC voted to adopt changes to modernize and enhance the reporting and disclosure of information by registered investment companies and to enhance liquidity risk management by open-end mutual funds and Exchange Traded Funds (ETFs). Learn more and download our help sheet!

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The Challenge

Trying to keep up with the regulatory disclosure needs of the myriad of funds you manage—and ever-changing regulations—is a complex process.

You need an expert partner to proactively adapt to your needs, helping eliminate:

  • Missed regulatory deadlines
  • Document preparation and filing errors
  • Inefficient process or workflow leading to delays
  • Increased costs arising from mistakes and inefficiencies
  • Difficulty staying on top of evolving regulatory and compliance requirements

The Merrill Solution

Reduce the time, cost and headaches involved in producing, filing and distributing your shareholder reports and prospectuses by partnering with Merrill.

  • Custom, end-to-end solution

    Whether you engage our consultative services or opt for full or self service, you’ll find a solution tailored to your unique needs with Merrill.

  • Effective, streamlined process

    Merrill can proactively adapt to and streamline any workflow, bringing all of your teams, partners and outside counsel together into one efficient process.

  • Proactive compliance

    Merrill’s close ties with the SEC and other industry regulators ensure all of your regulatory documents meet ever-changing compliance guidelines.

  • Enhanced investor communications

    Investors have easy, secure access to your shareholder documents online with Merrill’s Publishing Center, which hosts documents in compliance with strict SEC rules.

  • Accuracy with every filing

    Produce accurate, consistent and reliable tagged data and ensure that EDGAR and XBRL content are identical prior to filing via our review portal and dashboard.

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  • Strengthen shareholder relationships

    Using database intelligence and scenario analysis, our Compliance Center for variable products delivers customized, portfolio-specific packages.

  • Painless document composition

    From EDGAR creation through distribution, our experts will help you compose and stylize your documents to perfection

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  • Simplified N-SAR filing

    Our N-SAR Manager web-based solution removes the need for a CPA with Q&A fields and file uploads, and automatically generated validation files and submission after approval.

  • Accurate Form N-MFP filing

    Realize on-time Money Market filings compliant with all current regulations with our web-based solution, which automatically files and creates an output of approved files.

Merrill Technology

Merrill DPA

Manage and publish your prospectus or report more quickly and efficiently with workflow automation from Merrill.

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Generate content in real time and ensure the most up-to-date disclosure with Merrill Dynamic Publishing Automation (DPA). Track all work for a clean audit trail and eliminate EDGAR and XBRL charges.

  • Easily create shareholder communications such as prospectus and fund fact sheets
  • Effortless data import, merging and reuse of content across documents
  • Manages routing for review and approval
  • Generates output in multiple formats for print, electronic download, Web or mobile publishing

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