Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

How to Choose the Best Financial Printer for an IPO

 


Previously the key steps in preparing for a successful IPO listing were discussed. One key driver to a successful IPO is the assembling of the best working team. Within that working team, the financial printer plays a pivotal role in the production of prospectuses. To select the best financial printer, there are three main qualities that should be assessed. They are a financial printer’s IPO experience, confidentiality and translation capabilities.

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SEC closed for Memorial Day - May 28, 2018



In honor of Memorial Day, the SEC is closed Monday, May 28, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Friday, May 25, 2018 will receive a filing date of Tuesday, May 29, 2018 and will be posted to the public on May 29, 2018.

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Understanding Continuing Trends in M&A Disclosure Litigation

By, Edward Micheletti, Esq., Partner at Skadden; Jenness Parker, Esq., Counsel at Skadden; and Bonnie David, Esq., Associate at Skadden

View full article from Transaction Advisors, here.
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M&A's Role in Keeping Communications Companies Competitive

By, Art Bert, Managing Director at Accenture Strategy; John Kinnaman, Managing Director in Accenture Strategy’s Communications, Media and Technology Strategy practice; Raúl Macías, Managing Director in Accenture Strategy's Communications, Media and Technology industry practice; and Stephanie Gorski, Strategy Senior Manager at Accenture.

View full article from Transaction Advisors, here.
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IPOs and Transactions: May 14 - 18

There were 53 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Arqule Inc w/ Arnold & Porter, Arqule Inc w/ ArQule, Inc., Lf Capital Acquisition Corp w/ Ellenoff Grossman & Schole LLP, Newtek Business Services Corp w/ Eversheds Sutherland LLP, Xtant Medical Holdings Inc w/ Fox Rothschild LLP, Bluerock Residential Growth Reit Inc w/ Kaplan Voekler Cunningham & Frank, PLC, Aevi Genomic Medicine Inc w/ Pepper Hamilton LLP, Charles & Colvard Ltd w/ Smith, Anderson, Blount, Dorsett, Mitchell & Jernigan, L.L.P., Lf Capital Acquisition Corp w/ Venable LLP. 

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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Importance of Conducting Customs and Trade-focused Due Diligence

By, Anthony Kerr, Senior Consultant at Mayer Brown Consulting in Singapore

View full article from Transaction Advisors, here.
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How to Maximize Divestment Success

By, Larry Hitchcock, Principal, Global Service Line Leader Mergers & Acquisitions at Deloitte Consulting and Iain Macmillan, Global Head of M&A Services and Transaction Services at Deloitte. 

View full article from Transaction Advisors, here.
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Applying Predictive Coding to M&A Transactions

By, Robert Keeling, Partner at Sidley Austin in the Washington DC office and Co-chair of the firm’s E-Discovery Task Force

View full article from Transaction Advisors, here.
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Investment Companies Cope with New Regulatory Era

Large institutions, pension funds, and individual investors routinely cycle trillions of dollars through insurance products and mutual and exchange-traded funds. These three investment platforms until recently have not been closely scrutinized by financial regulators, as they were deemed to pose little if any systemic risk. This was in contrast to the more exotic financial vehicles, in particular derivative instruments such as mortgage-backed securities and credit default swaps that were at the heart of the Great Recession.

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IPOs and Transactions: May 7 - 11

There were 51 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Jrsis Health Care Corp w/ Eilers Law Group, PA, Synthetic Biologics Inc w/ Gracin & Marlow, LLP, Building Bits Properties I Llc w/ KHLK LLP, Abeona Therapeutics Inc w/ Morgan, Lewis & Bockius LLP. 

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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Video: April Top Law Firms By SEC Transactions

As subject matter experts in transactions i.e. IPOs and M&A, we carefully track the capital markets dealflow… daily, weekly and monthly.

If you would like to be emailed the week’s transactions (every Monday afternoon), fill out the quick form on this page.

Continue on to view April's top law firms.

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Cybercrime Affects All Financial Institutions

Technology has presented new problems for all financial products, and one of the toughest is cybercrime, which transcends all regulatory and sovereign boundaries. Analysts at the International Monetary Fund wrote that “cyber-attacks on financial institutions and financial market infrastructures are becoming more common and more sophisticated.”

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Mutual Funds and Exchange-Traded Funds Wage Against Increased Regulation

Fund companies are waging a battle against the SIFI designation as well. The Investment Company Institute, whose members manage $21.7 trillion in the United States,10 argued that the SIFI designation is at its heart a banking regulation, conceived by regulators who are used to overseeing deposit-taking institutions.

While the designation has never been applied to any mutual or exchange-traded fund, the possibility remains alive as long as the FSOC retains its statutory authority to apply it. House Republicans introduced a bill to take that authority away.

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Insurance Companies Adjust to Shifting Regulation

Insurance companies are regulated by the states in which they are incorporated. Several trends, however, have put the largest insurers’ holding companies on the regulators’ screen with potential implications for the individual investments and products offered.

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IPOs and Transactions: April 30 - May 4

There were 49 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Ibio Inc w/ Andrew Abramowitz, PLLC, Fidelity Southern Corp w/ Baker, Donelson, Bearman, Caldwell & Berkowitz, P.C., Pomona Investment Fund w/ Dechert LLP, Ibio Inc w/ Robinson Brog Leinwand Greene Genovese & Gluck P.C.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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M&A Deals: Inherent Risk & Adequate Pricing

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present the newest edition of M&A Pulse newsletter. This newsletter features responses from Francois Mallette,
L.E.K. Consulting.

Toppan Vintage asks, in your experience, do dealmakers adequately price in the inherent risk involved in M&A deals? Mr. Mallette weighs in...

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Strategy Against Activist Demands

Last year saw shareholder activists super-sizing their bets and seeking new targets in foreign markets. This growth has prompted companies to become more strategic in dealing with activist demands, though investors are also viewed as better suited to combat opposition against their campaigns. 

In order to find out how shareholder activism will impact 2018 dealmaking, Toppan Vintage, in partnership with Activistmonitor and Mergermarket, is pleased to present the newest edition of the M&A Pulse newsletter.

Toppan Vintage question: What do you think will happen to the number of activist campaigns worldwide over the next
12 months? Leading deal experts weigh in...

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SEC Signals Focus on Startups, Cryptocurrency, Cybersecurity

By, Bloomberg BNA

The Securities and Exchange Commission, with a full panel of five commissioners, isn’t wasting any time in 2018 consolidating its attention and enforcement efforts on startups, cryptocurrency, and cybersecurity.

SEC Chairman Jay Clayton, an independent nominated by President Donald Trump, alongside Republican Commissioner Michael Piwowar and Democratic Commissioner Kara Stein, welcomed two new members in January: Hester Peirce and Robert Jackson.

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Key Elements to Prepare a Successful IPO

Your business finally starts to take off and here comes your chance to undertake an initial public offering (IPO), to further expand your business. However, before rushing into an IPO, there are a few things you will first need to prepare. Here we will discuss about how to prepare for a successful IPO:

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IPOs and Transactions: April 23 - 27

There were 43 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Real Goods Solar Inc w/ Brownstein Hyatt Farber Schreck, LLP, Esoteric Brewing Company Llc w/ Graydon Head & Ritchie LLP, Dariohealth Corp w/ Zysman, Aharoni, Gayer and Sullivan & Worcester LLP.

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

For information on all of our capital markets, compliance and investor relations solutions, please contact us here or email us.

Click here and opt-in to receive this weekly summary via email.

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