If it has to do with SEC filing workflow, conversion, quality control or submission, Kate Parker’s hands will be all over it. Her regulatory research regarding proposed and adopted rules by the SEC has made Kate an expert in the area and a veritable knowledge hub for any and all things SEC. Clients as well as coworkers appreciate her ability to clearly explain regulatory changes and train them on their implications. Prior to joining FilePoint, Kate served as a 1940 Act Paralegal updating content for SEC filings. There she developed her deep understanding of the background and process by working with attorneys, advisors and boards of trustees taking minutes for board meetings. After a full day of client relationship building, you’ll likely find Kate spending quality time playing—either with her kids or on her guitar.
On May 25, 2022, the SEC proposed amendments to address certain categories of investment company names that are likely to mislead investors about an investment company’s investments and risks.
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the SEC adopted amendments to Form N-PX filings to make proxy voting disclosures more useful and informative for investors. This high-level overview of the changes, including who it affects, timing, and best practices, might be helpful as you prepare for the effective date.
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