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Synthesis Tailored Shareholder Reports

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

In July 2024, the SEC’s Tailored Shareholder Rule will go into effect. The TSR represents a sea change in how ’40 Act funds report to their shareholders. How?

The TSR mandates something less like a shareholder report and more like a traditional institutional fact sheet: clear, concise, with a strong emphasis on the essentials. The TSR must provide shareholders with both the facts, as well as the context that creates meaningful understanding of them.

In this webinar, co-sponsored by The SME Forum, Synthesis CEO John Toepfer, Red Oak Compliance COO Cathy Vasilev, and Beacon Analytics co-Founder Girard Healy discuss the operational, compliance, and project management aspects to implementing this important new mandate.

Breaking Down the SEC’s Modernized Marketing Rule

Marketers – are you prepared to stay compliant and crush your marketing goals under the SEC’s new Modernized Marketing Rule? In this webinar, Synthesis CEO John Toepfer and Red Oak Compliance COO Cathy Vasilev break down the SEC’s MMR rule to provide actionable steps on how to prepare by the Nov 4th deadline. Topics covered include: Testimonials, The new Definition of “Advertising”, Reporting Performance, 3rd Party Ratings and Rankings, and Tracking & Documentation. Register for the replay and you’ll also receive Red Oak’s MMR Preparation Checklist.

Get off the Quarter-End Hamster Wheel Forever with an Automated Investment Data Strategy

Attracting and retaining AUM requires giving marketers time to think and be strategic, so they can capitalize on new opportunities, out-think competitors, and differentiate the firm, all while keeping the SEC off their backs. To free up the time to be more strategic, investment marketers must focus on fixing the fundamental data problem that fuels their content marketing, distribution, and sales enablement strategies. Investment marketers and consultants rely on timely and updated data to distribute information. Inconsistent data can lead to non-compliance with SEC, thousands of hours per year spent on manual updates, slower time-to-market, and many more consequences. In this webinar, we explain how placing a focus on “data marketing” can help you be more efficient and strategic.

The Sales Success Formula in Financial Services: Blending Customization & Compliance

The financial services industry faces obstacles that make it difficult to gain new clients and asset acquisition. The quest: to be more buyer-centric, personalized, and up-to-the-minute. Marketing teams are responsible for creating sales content, but presentations aren’t always well-received by the sales group. Salespeople tend to tweak presentations themselves, creating “rogue” content that is not marketing-approved. In addition, there are compliance approvals and exposure to risk if any procedure is bypassed. Financial service institutions are realizing they need to digitize and automate their processes in order to improve brand consistency, customer-centricity, compliance, and, measurement. By adopting a digital-first approach, companies can develop holistic solutions that enable branded and custom content, while also allowing the flexibility to create personalized and compliant materials.


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