Financial Services

[Guide] SEC Investment Company Reporting Modernization

Data Science Model Presentation

In an effort to increase transparency, the Securities and Exchange Commission (SEC) has adopted new rules and amendments, called Investment Company Reporting Modernization Rules, which require registered investment companies to modernize their reporting and disclosures.

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.

Supercharging the Data Governance Process in Financial Services with Data Lineage
Supercharging the Data Governance Process in Financial Services with Data Lineage

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Get the Guide

Our new 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

Download the guide.

About the Author

Nilanjan Sen, asset management lead in Perficient’s financial services practice, joined the company in 2013 via the acquisition of ForwardThink Group. His areas of focus include data management, business intelligence, operational systems, and investment research and analytics. Nilanjan has over 20 years of experience in corporate and consulting roles. Prior to Perficient, he was VP of IT services at asset management firm AllianceBernstein.

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