Not classified

XAI Octagon Floating Rate & Alternative Income Term Trust

9 filings mentioning 5 of the compliance and risk topics we track. Every row links to the filing on EDGAR.

9filings we hold
5topics disclosed
Not classifiedindustry
ILbased in

Across 9 filings we hold, XAI Octagon Floating Rate & Alternative Income Term Trust has written down 5 of the topics we track.

XO Not classified

What this obligates

Every instrument in our corpus that governs something XAI Octagon Floating Rate & Alternative Income Term Trust has written into a filing. Not what they said. What applies once they have said it.

ISO 27001:202242
ISO 37001:201639
ISO 3700126
GDPR26
ISO/IEC 27701:201921
Code of Conduct on Data Protection for Research (GDPR Article 40)12
HIPAA Security Rule10
COSO Internal Control9
NIST SP 800-615
PCAOB AS 22014

10 frameworks, 194 controls between them, deduplicated across topics.

What it discloses

Tracked topics appearing in this company's filings, most frequent first.

Internal Control4
Enforcement Action4
Regulatory Investigation4
Material Weakness3
Data Breach1

Bars are scaled against this company's most frequent topic, not against the market. The table below has the exact counts.

TopicFilingsMost recent
Internal Control42023-10-10
Enforcement Action42024-06-05
Regulatory Investigation42024-06-05
Material Weakness32021-07-22
Data Breach12023-09-13

When it filed

Filings we hold, by year. Hover a bar for the count.

21
22
23
24

Recent filings

FiledFormItem
2024-06-058-KEntry into a material agreement, Other material event, Financial statements and exhibitsfiling
2023-10-108-KEntry into a material agreement, Item 1.02, Other material eventfiling
2023-09-138-KEntry into a material agreement, Item 1.02, Financial statements and exhibitsfiling
2022-02-118-KEntry into a material agreement, Other material event, Financial statements and exhibitsfiling
2021-12-028-KEntry into a material agreement, Other material event, Financial statements and exhibitsfiling
2021-07-228-KEntry into a material agreement, Other material event, Financial statements and exhibitsfiling
2021-03-268-KEntry into a material agreement, Item 5.03, Other material eventfiling
2021-02-268-KEntry into a material agreement, Other material event, Financial statements and exhibitsfiling
2021-02-088-KEntry into a material agreement, Other material event, Financial statements and exhibitsfiling
New here? Signals tracks the compliance and risk language public companies put into their SEC filings, and cross-references it against 723 frameworks and 20,473 controls. See what moved today or check how much of a framework you already cover.

What this page is

Every row comes from SEC full-text search over this company's filings, matched against the compliance and risk phrases we track. It is a record of what the company itself wrote down in documents it is legally accountable for. It is not an assessment of the company, a rating, or a claim about how well it manages anything.

A phrase appearing in a filing frequently means the risk section mentions it, not that an event occurred. Where an item number indicates an actual event, the Item column says so.

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