Financial Transactions and Regulatory Compliance Review

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

IPO Process Panel at Oppenheimer Annual Healthcare Conference

Toppan Vintage’s Edward Vaccaro, Vice President of Operations, spoke at this week’s 28th Annual Healthcare Conference presented by Oppenheimer, on the "Navigating the IPO Process" panel. Mr. Vaccaro shared his expert insights on the following points:

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Lessons from Failed Deals: Focus on Regulatory Due Diligence

Dealmakers know acquisitions carry risk. But when it comes to seeing the real-life vulnerabilities of a specific deal bound for failure, most don’t spot their own biggest problems in advance.

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 US-based senior corporate executives who shared their insights on failed deals.

Lesson #4: Focus on regulatory due diligence. Leading deal experts weigh in...

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What Investors Want to See in Your Proxy Statement

With the 2018 proxy season looming, companies need to shift focus to the strategic content development and design of their shareholder communications, in trend with the evolution of proxies as compliance documents to communication tools.

When it comes to the voluntary proxy disclosure, companies need to ensure that they are effectively addressing investor concerns. After reviewing public open letters to CEOs and directors from Blackrock and Vanguard, and the  Morrow Sodali's 2018 Institutional Investor Survey, Nasdaq's Governance Clearinghouse, identified five overarching investor concerns. We’ve featured Nasdaq’s full recommendations below:

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IPOs and Transactions: March 12 - 16

There were 50 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Vivaldi Opportunities Fund w/ Drinker Biddle & Reath LLP, Innovate Biopharmaceuticals Inc w/ Wilson Sonsini Goodrich & Rosati, PC.

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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Recap: Chicago Middle Market M&A Conference

Toppan Vintage was a proud sponsor of this month’s Transaction Advisors' Middle Market M&A Conference. This prestigious conference provided private equity investors, middle market business owners, corporate executives, directors, and investors with perspective and practical insights on the latest strategies for structuring and executing corporate transactions.

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Country Risk: Understanding Determinants, Measures and Implications in Deal Planning

By, Professor Aswath Damodaran holds the Kerschner Family Chair in Finance Education and is Professor of Finance at New York University Stern School of Business.

View full article from Transaction Advisors, here.
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Small Deals with Strong Performance

IPOs staged a major comeback in 2017 and in 2018, the market continues to evolve. In order to understand the driving forces, opportunities, and challenges in the US IPO market in 2018, Toppan Vintage commissioned Mergermarket to interview leading experts in the field.

Toppan Vintage question: Smaller deals performed better in 2017, and overall the Renaissance IPO ETF went up 33% in 2017. Do you think most investors are aware of the strong performance of these other, less prominent debuts? Leading deal experts weigh in...

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Examining the Takeover: Do Tech Acquisitions Pay Off for Acquirers?

By, Dr. Jens Kengelbach, Partner and Managing Director 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; Ketil Gjerstad, Partner and Managing Director at The Boston Consulting Group; Jesper Nielsen, Partner and Managing Director in the London office of The Boston Consulting Group; Decker Walker, Partner and Managing Director at The Boston Consulting Group. 

View full article from Transaction Advisors, here.
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Video: February 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 February's top law firms.

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IPOs and Transactions: March 5 - 9

There were 33 transactions filed with the SEC last week.

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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Toppan Vintage Marks One-Year Anniversary of Strategic Acquisition

Leading international financial printing and communications firm celebrates anniversary of the formation 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 landmark 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 March 2017 acquisition expanded the Toppan Vintage global footprint and doubled the size of the company.

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Methods for Countering Bribery and Corruption in M&A

By, Hogan Lovells, global legal practice that helps corporations, financial institutions and governments across the spectrum of their business and legal issues globally and locally

View full article from Transaction Advisors, here.
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Lessons from Failed Deals: Anticipate the Unexpected

It is little secret among decision-makers at corporations and private equity firms that M&A deals don’t always succeed after closing. Given the complexity of combining two independent entities, overcoming cultural as well as language barriers, synthesizing redundant systems and more, the chance of a deal failing or leading to a negative outcome can be considerable.

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 US-based senior corporate executives who shared their insights on failed deals.

Lesson #2: Anticipate the unexpected. Leading deal experts weigh in...

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PE Firms Face Rising Valuations and Competition for Targets

Private equity is continuing to attract investor capital in 2018, despite increasingly tough conditions for buyouts. With new fundraising contributing to an already record amount of dry powder, PE firms are facing a competitive dealmaking landscape and rising valuations for targets. Volatility across global markets raises the question of what the future of deals looks like for PE firms. 

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 US-based senior corporate executives who shared their insights on the current and future state of unicorn companies.

Toppan Vintage question: What types of deals do you expect to see more of in the next 12 months?  Leading deal experts weigh in...

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IPOs and Transactions: February 26 - March 2

There were 46 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Juniata Valley Financial Corp w/ Barley Snyder LLP, Community Financial Corp w/ Kilpatrick Townsend & Stockton LLP, Tower International Inc w/ Lowenstein Sandler LLP, Juniata Valley Financial Corp w/ Pillar + Aught, Dreyfus Alcentra Multi-Strategy Global Credit Fund Inc w/ Proskauer Rose LLP, Xspand Products Lab Inc w/ Waller Lansden Dortch & Davis, 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 Effect of Disclaimers on M&A Fraud Claims

By, Michael Farhang, Esq., former Federal Prosecutor and a Partner in the Los Angeles office of Gibson, Dunn & Crutcher.   

View full article from Transaction Advisors, here.
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Understanding the Impact of Proposed CFIUS Changes on Pending Deals

By, Scott A. Schimpa, Esq., Partner at Winston & Strawn; Francesca M.S. Guerrero, Esq., Partner at Winston & Strawn; and Stephen J. Migala, Esq., Partner at Winston & Strawn.

View full article from Transaction Advisors, here.
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The Narrowing Window for the "Merger Tax" in M&A Stockholder Lawsuits

By, Barbara Becker, Esq., Partner in the New York office of Gibson, Dunn & Crutcher and Co-Chair of the firm's M&A Practice Group; Stephen Glover, Esq., Partner in the Washington, D.C. office of Gibson, Dunn & Crutcher and Co-Chair of the Firm's M&A Practice; and Daniel Alterbaum, Esq., an Associate in the New York office of Gibson, Dunn & Crutcher. 

View full article from Transaction Advisors, here.
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Is Your Company Vulnerable to Activist Campaigns?

In 2017 shareholder activism 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. Experts say that sector distress and poor individual performance will leave many companies vulnerable to activist campaigns in the year ahead.

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 will be the top demands of shareholder activists over the coming 12 months? Leading deal experts weigh in...

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IPOs and Transactions: February 19 - 23

There were 30 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Terrapin 4 Acquisition Corp w/ Greenberg Traurig, LLP, Terrapin 4 Acquisition Corp w/ Skadden, Arps, Slate, Meagher & Flom 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.

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