Workiva and FilePoint Create Partnership to Streamline SEC Compliance for Registered Investment Companies

AMES, Iowa - September 23, 2019 — Workiva (NYSE:WK), provider of the world’s leading connected reporting and compliance platform, today announced a new partnership with FilePoint, a full-service filing agent, to offer a new solution to registered investment companies for filing monthly (Form N-PORT) and annual (Form N-CEN) reports with the U.S. Securities and Exchange Commission (SEC).

The SEC rules and forms require that registered investment companies file their reports in a structured data format, which improves transparency and reduces reporting burdens. Form N-PORT includes certain information about monthly portfolio holdings, and Form N-CEN includes annual census information.

By using the Workiva platform, investment companies are able to seamlessly aggregate and connect their data in a secure environment, automate updates, track changes and collaborate with colleagues. With the new Workiva-FilePoint partnership, users will be able to export their data for Forms N-PORT and N-CEN from the Workiva platform into the FilePoint solution. Once in FilePoint, investment companies can edit, review, approve, and work with the FilePoint service team to file directly with the SEC.

“As the largest, third-party provider of SEC filings, it’s vital that we keep offering cutting-edge technology solutions that reduce risk, increase transparency and create efficiencies,” said Marty Vanderploeg, CEO of Workiva.

“Our partnership with Workiva helps our joint customers streamline monthly N-PORT reporting requirements by combining technology and services to manage the high volume of data needed to meet the SEC's requirements. Our partnership also enables users to maintain consistency and accuracy in annual N-CEN filings,” said Frank Watson III, Founder and CEO at FilePoint.

The Workiva and FilePoint solution is available today. More information can be found at workiva.com/partners/filepoint.



About Workiva

Workiva, provider of the world’s leading connected reporting and compliance platform, is used by thousands of enterprises across 180 countries, including more than 75 percent of Fortune 500® companies, and by government agencies. Our customers have linked over five billion data elements to trust their data, reduce risk and save time. For more information about Workiva (NYSE:WK), please visit workiva.com.

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