10 Best Practices for Tailored Shareholder Report Design

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In our recent conversations with fund companies, we have been pleased to hear that the teams managing Tailored Shareholder Reports are taking this new SEC mandate as an opportunity to enhance their brand.


The detailed ins-and-outs of branding and branding-adjacent tasks can be unfamiliar to fund administrators and the teams involved in the regulatory and client reporting side of the investment management business.


 Luckily, it’s not rocket science.


It is simply a process that helps to keep the firm’s look, feel, and messaging fresh. A rebrand can also be used to align a firm’s outward appearance with evolving trends, compliance needs, fund acquisitions, and/or strategic objectives. Rebranding can range from minor color and font changes to a complete overhaul of design and components – all things that must be accounted for in Tailored Shareholder Report planning.


However, in order to ensure all of these components are reflected in the TSR, an effective document design process is essential. Here, we offer a few of our best practices for creating a truly eye-catching and brand-defining Tailored Shareholder Report:

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Benchmarking and the Tailored Shareholder Report: Staying on the SEC’s Good Side

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Synthesis Technology PricingSimilar to how it handled the Marketing Rule from a few years ago, the SEC is leaving much to the imagination for fund companies when implementing aspects of the Tailored Shareholder Reporting rule.

While it is true the agency has provided several required content areas and datasets for inclusion, how exactly those pieces of content and data are to be crafted and presented are somewhat open for interpretation.

From speaking with clients and other fund companies, one of the most discussed and problematic areas for fund teams relates to the SEC’s mandate for the inclusion of an “appropriate broad-based market index” (what we will call BBMI) against which funds can be compared.

What was the SEC’s thinking here?

Why did they decide to change the benchmarking requirements?

What was the logic? And how can fund companies, understanding that logic, approach benchmarking in a way that meets the mandate?

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A Few Notes From Our Tailored Shareholder Report Webinar

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“Marketing has a very large place at the table.”

“There are a whole host of requirements [around ADA compliance] that aren’t going to be fun.”

“Having good discipline… is especially important as fund boards… make inquiries about the due diligence you are performing.”

“I would not want to be the asset manager that misses the deadline”

In our recent webinar, “Are Your Systems Ready? 6 Questions to Answer About the Tailored Shareholder Rule,” we covered a lot of ground across the areas of compliance, operations and technology, and project management.


In a free-flowing one hour discussion that ran from compliance to operations and technology to project management and execution (view the whole thing here) justice , here are a sampling of the things we discussed.


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Measure Twice, Cut Once: Effective Tailored Shareholder Report Design

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View our recorded webinar (8/2/23):

Are Your Systems Ready? 6 Questions to Answer About Implementing the Tailored Shareholder Rule



As we noted in our piece on Automation, Business Rules, and the SEC’s new Tailored Shareholder Report rule, figuring out the implementation strategy is the challenge.


Because Tailored Shareholder Reports aren’t merely abbreviated shareholder reports, they may offer ‘40 Act asset managers with an opportunity to revisit and rethink their approach to their shareholder reporting regimen.


By doing so actively and creatively, other data-driven marketing, sales, and compliance documents can leverage this new integrated approach to improve their functionality as well.


And now that SEC Rule 30e-3, which allowed for paper notification of online shareholder report filings, has been rescinded for the Tailored Shareholder Report, creating a more streamlined and efficient reporting process is warranted.


Given our deep experience in the investment data/content automation world, we see many parallels between our traditional areas of expertise and Tailored Shareholder Report strategy. After all, these are, at their core, a fact sheet in disguise.

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