Financial Transactions and Regulatory Compliance Review

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

Cybersecurity, Blockchain & Fundraising

When the cryptocurrency Bitcoin launched in 2009, few market observers expected digital coins to become anything more than a novelty. Less than a decade later, however, the number of digital coins has exploded — and the corporate world is taking the technology seriously.

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. In order to grasp the underlying advantages, disadvantages, and expectations related to ICOs, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

Toppan Vintage question: Whether or not digital coins become mainstream, do you think the technologies underlying them, such as cybersecurity protections and blockchain, will become part of more traditional fundraising platforms and methods for companies? Leading industry experts weigh in...

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IPOs and Transactions: June 11 - 15

There were 41 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Chicken Soup For The Soul Entertainment Inc w/ Crowell & Moring LLP, Auris Medical Holding Ag w/ Davis Polk & Wardwell LLP, Cellectar Biosciences Inc w/ Ellenoff Grossman & Schole LLP, Chicken Soup For The Soul Entertainment Inc w/ Graubard Miller, Shore Bancshares Inc w/ Holland & Knight LLP, Cellectar Biosciences Inc w/ Michael Best & Friedrich LLP, Pareteum Corp w/ Sichenzia Ross Ference Kesner LLP, Auris Medical Holding Ag 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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The Growing Legitimacy of ICOs

Less than a decade after Bitcoin's launch the number of digital coins has exploded and they are beginning to find their place in capital markets, especially in fundraising. 

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. In order to grasp the underlying advantages, disadvantages, and expectations related to ICOs, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

Toppan Vintage question: Some more established companies such as Telegram and Kik have begun launching ICOs to raise capital. Do you think this fundraising method will eventually gain legitimacy if more high-profile companies begin issuing coins? Leading industry experts weigh in...

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ICOs and the Future of Capital Raising

Less than a decade after Bitcoin launched in 2009, the number of digital coins has skyrocketed — and initial coin offerings (ICOs) have the corporate world considering their merits as a new fundraising tool. But the specter of impending regulations on the horizon and continued volatility in the cryptocurrency market have some wondering how far ICOs will progress into mainstream finance. 

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. In order to grasp the underlying advantages, disadvantages, and expectations related to ICOs, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

Toppan Vintage question: Do you think initial coin offerings (ICOs) could serve a meaningful purpose when it comes to corporate capital raising? Leading industry experts weigh in...

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FTC Cautions on M&A Antitrust Risks in Pre-Merger Information Exchanges

Content originally from Transaction Advisors  

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Was your first XBRL IFRS filing successful? Sign up now for our IFRS Webinar | July 10, 2018

Was your first XBRL IFRS filing successful? Sign up now for our IFRS Webinar!

Featuring: Chase Bongirno, Director of XBRL at Toppan Vintage and Ben Johnson, Vice President, Sales Engineering at Toppan Vintage 
 
Including an IFRS taxonomy update and review after first filing, training tips, SEC deadlines, filing success plans and future implementation options

All registrants will receive a recording of the webinars through email for those who can’t join due to time zone restraints. 
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IPOs and Transactions: June 4 - 8

There were 54 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Brainstorm Cell Therapeutics Inc w/ BRL Law Group LLC, New Frontier Corp w/ Freshfields Bruckhaus Deringer US LLP, Stellar Biotechnologies Inc w/ Greenberg Traurig, LLP, Iconsumer Corp w/ KHLK LLP, New Frontier Corp w/ Maples and Calder, Xpresspa Group Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., A&Q Multi-Strategy Fund w/ Proskauer Rose LLP, Cpg Focused Access Fund Llc w/ Proskauer Rose LLP, New Frontier Corp w/ Winston & Strawn 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: May 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 May's top law firms.

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As Prices Peak, Should Dealmakers Wait for the Next Downturn?

By, Dr. Jens Kengelbach, Partner and Managing Director at The Boston Consulting Group; Dominik Degen, Corporate Finance and Transactions Knowledge Expert at The Boston Consulting Group; Dr. Georg Keienburg, Principal and Core Member of the Corporate Development and Industrial Goods practices at The Boston Consulting Group; Timo Schmid, Principal in the Munich office of The Boston Consulting Group; and Professor Dr. Sönke Sievers, Chair of International Accounting at the University of Paderborn. 

View full article from Transaction Advisors, here.
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Jeffrey Riback Discusses Landmark Year & Future Plans with SuperbCrew.com

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International Financial Printing, Communications and Technology Company Marks One-Year Since Launch of Rebrand to Toppan Vintage

Toppan Vintage celebrates anniversary of new global brand representative of one of the world’s largest financial communications companies

Toppan Vintage, a leading international financial printing, communications and technology company, celebrates this month the one-year milestone of the rebrand and launch of Toppan Vintage.

The June 2017 strategic rebrand of the company, previously Toppan Vite, reflected the company’s plans for future international growth and expansion in the wake of the March 2017 acquisition of Vintage, a former division of PR Newswire and a provider of regulatory compliance across capital markets, corporate services, and institutional and fund services. The acquisition of Vintage expanded the Toppan Vintage global footprint and doubled the size of the company.

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IPOs and Transactions: May 28 - June 1

There were 45 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Goodbulk Ltd w/ Davis Polk & Wardwell LLP, Monroe Capital Income Plus Corp w/ Eversheds Sutherland LLP, Fundrise Growth Ereit Ii Llc w/ Goodwin Procter LLP, Fundrise Income Ereit Ii Llc w/ Goodwin Procter LLP, Monroe Capital Income Plus Corp w/ Monroe Capital Income Plus Corp., Goodbulk Ltd w/ Morgan, Lewis & Bockius LLP, Cpg Vintage Access Fund Ii Llc w/ Proskauer Rose 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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Dodd-Frank Update: Proxy and Offering Rules for Closed-end Companies

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U.S. Regulators and ICOs

Over the last year, initial coin offerings (ICOs) have thrived in part because they avoided strict regulatory scrutiny. U.S. and foreign regulators alike are gradually cracking down on the activity, however, as the market booms and investors are exposed to billions of dollars in potential losses. The question is: How effective will government agencies be at reigning in token issuers?

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. In order to grasp the underlying advantages, disadvantages, and expectations related to ICOs, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

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Recap: San Francisco M&A Conference

Toppan Vintage was a proud sponsor of Transaction Advisors' recent San Francisco M&A Conference. This prestigious conference provided corporate executives, board members, and private capital investors with perspective and practical insights on the latest strategies for structuring and executing corporate transactions.

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Investor's Perspective: Digital Coins vs. Securities & Debt

Many questions remain about the usefulness — and legality — of ICOs and token raises. In early April, for instance, the SEC filed fraud charges against the co-founders of financial services start-up Centra Tech, alleging that the company made false claims in its 2017 ICO that raised US$32m. The likes of Google, Twitter and Facebook have also banned advertisements of token sales on their websites amid concerns about fraud.

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. In order to grasp the underlying advantages, disadvantages, and expectations related to ICOs, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

Toppan Vintage question: From an investor’s perspective, what do you think are the potential advantages to digital coins over other kinds of securities or debt? Leading industry experts weigh in...

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IPOs and Transactions: May 21 - 25

There were 65 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including The One Group Hospitality Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Vanguard Natural Resource Inc w/ Paul Hastings 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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Navigating Regulatory and Antitrust Issues in M&A

By, Jessica Delbaum, Esq., Partner at Shearman & Sterling; Steve Reeder, Esq., Corporate Counsel, Antitrust at Oracle; and Joshua Walker, Esq., General Counsel for the Silicon Valley outpost of Airbus Group.

View full article from Transaction Advisors, here.
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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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