UFI’s Analytics and Compliance Group is a full-service practice committed to managing the comprehensive disclosure and dissemination agent needs of California public agencies. UFI provides post-issuance compliance services to over 150 California cities, school districts, successor agencies, joint powers agencies, financing authorities, and special districts. UFI offers the following services to help clients be fully compliant with their federal and state disclosure requirements: database checklist of reporting requirements for each client by issuance, assembly and review of continuing disclosure reports, posting of annual reports and dissemination to required parties, monitoring of SEC Rule 15c-12(b)(5), notification of deadlines and material events, and ratings monitoring.

UFI’s disclosure process helps clients minimize time and cost by assuming responsibility for understanding the provisions of the Continuing Disclosure Agreement/Certificate for annual reports under S.E.C. Rule 15c2-12, assembling and preparing annual reports with the required information in the proper format (including performing calculations where required), timely disseminating and posting annual reports to the MSRB Electronic Municipal Market Access (EMMA), and timely completing and filing additional reports required by the California Debt and Investment Advisory Commission (CDIAC).

During the most recent FY21 reporting period, UFI utilized a web-based platform to coordinate its disclosure services, streamlined access to critical report information through an online data service, and increased its staffing and peer-review process annual reports. The result was improved service, communication and customer satisfaction for our 150 clients. In the coming year, UFI looks forward to continuing to improve our disclosure services with these innovative technologies and process enhancements.