Financial Transactions and Regulatory Compliance Review

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

Understanding the Accounting Meaning of an IFRS Taxonomy Element | Plus Jan. 24 Webinar Reminder!

Taxonomy filing system owners set the rules or guidelines that preparers must follow when tagging IFRS financial statements using the IFRS Taxonomy. These filing rules often refer to the accounting meaning of an IFRS Taxonomy element. This section describes the IFRS Taxonomy content a preparer can use to understand the accounting meaning of an element. Understanding the accounting meaning of an element helps a preparer select the correct elements when tagging IFRS financial statements.

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IPOs and Transactions: January 15 - 19

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 Pershing Gold Corp w/ Davis Graham & Stubbs LLP, Mudrick Capital Acquisition Corp w/ Ellenoff Grossman & Schole LLP, Jerash Holdings (Us) Inc w/ Harter Secrest & Emery LLP, Ameris Bancorp w/ Igler and Pearlman, P.A., Nowrx Inc w/ KHLK LLP, Jerash Holdings (Us) Inc w/ Magri Law LLC, Ameris Bancorp w/ Rogers & Hardin LLP, Mudrick Capital Acquisition 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.

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Government Shutdown: What it Means for the SEC & EDGAR

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Mega-Mergers Pushed Down 2017 M&A Volumes, Top Democrats Seek Hearings

By, Bloomberg BNA

Although mega-merger volumes were down in 2017 year-over-year, the stage is set in 2018 for a renewed focus on the effects of so-called mega- mergers on businesses and consumers. December 2017 ushered in the announcement of the two latest mega-mergers—the $69 billion CVS-Aetna deal and the proposed $52 billion merger of Disney and 21st Century Fox. Amazon’s recent purchase of Whole Foods was also part of this year’s lineup of blockbuster deals.

Despite the overall drop in the volume of mergers and acquisitions in 2017, the outlook for 2018 is bullish. PwC’s leader of U.S. deals, Bob Saad, said Dec. 14 that he expects a “very strong and active year.”

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Toppan Vintage Names Sharon Xu Vice President, Strategic Development

Executive with global experience to drive service to U.S.-listed companies across Asia

Toppan Vintage, a leading international financial printing, communications and technology company, announced today the hiring of Sharon Xu as Vice President, Strategic Development.

Xu joins the Toppan Vintage team with more than 15 years of experience in financial printing, financial media, SEC disclosure and compliance. She is based out of Toppan Vintage’s Beijing office and will be primarily responsible for focusing on the firm’s China compliance customer base and supporting U.S. IPOs in the China market.

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Cybersecurity Vulnerabilities in Public Companies

The SEC, which is itself responsible for disciplining companies for lax cybersecurity policies, had a highprofile
breach of its own in 2017, calling into question the safety of filers’ data.

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 new age of cybersecurity. 

Toppan Vintage question: Do you think filers should be concerned about the security of the data they file with the SEC given the apparent cybersecurity vulnerabilities in the Commission’s systems? Are there ways for companies to protect themselves from the damage of potential future breaches? Leading experts weigh in...

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IPOs and Transactions: January 8 - 12

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 Investview Inc w/ Michael Best & Friedrich LLP, Net Element Inc w/ Snell & Wilmer L.L.P.

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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SEC closed for Martin Luther King, Jr. Day - January 15, 2018



In honor of Martin Luther King, Jr. holiday, the SEC is closed Monday January 15, 2018No filings can be received. 

Files submitted after 5:30 pm ET, Friday, January 12, 2018 will receive a filing date of Tuesday, January 16, 2018 and will be posted to the public on January 16, 2018.

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CFO Compliance Tip: Assess And Monitor Risk

The job of the CFO is to marshal the stakeholders and resources necessary — IT, business leaders, HR, legal, and C-suite, among others — to ensure that all of the technology and processes are in place and working flawlessly when the new rules kick in.

Experts note that a risk assessment is one of the most critical tasks when evaluating the impact of a new compliance rule. To be effective, the risk assessment team must involve business functions beyond finance.

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Government Contracts M&A Moving at Breakneck Speed

By, Lawrence Block, Esq., Partner at Reed Smith in the Washington DC office and Elizabeth Leavy, Esq., Associate at Reed Smith in the Washinton DC office. 

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

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IPOs and Transactions: January 1 - 5

There were 27 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Oncobiologics Inc w/ Cooley LLP, Biolife Solutions Inc w/ Ellenoff Grossman & Schole LLP, The One Group Hospitality Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky and Popeo, P.C., Cryoport Inc w/ Snell & Wilmer L.L.P., Wisconsin Electric Power Co w/ Wisconsin Electric Power Company, Wisconsin Public Service Corp w/ Wisconsin Public Service Corporation.

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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IFRS Taxonomy: Understanding the Basics

A taxonomy is a classification system that can be used to identify and structure information so it is easy for a consumer to find. For example, a retailer may use a taxonomy for products it is selling online. This taxonomy is likely to include codes and labels that uniquely identify each product and provide information about the products, such as short descriptions, expected delivery times and references to physical shops where the products are available. The retailer is also likely to classify products by category, size, colour and price range. This taxonomy would allow online shoppers to quickly find, review and select specific products. Shoppers would be able to spend their time reviewing products rather than sifting through information.

Taxonomies are also used to allow information to be tagged and exchanged in a structured electronic format so that it can be accessed quickly and processed cost-effectively by the intended recipient of that information. For example, a shopper can place an online order by selecting a specific product. The retailer can automatically process the shopper’s selection using the underlying computer code of that product.

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Sign Up Now! IFRS Webinar - January 24, 2018

Sign up below for our XBRL for IFRS Webinar - Tips and Tricks for First Time Users

Featuring: Chase Bongirno, Director of XBRL at Toppan Vintage and Patrick Loughry, XBRL Subject Matter Expert at Toppan Vintage
 
Learn about the taxonomy update, training tips, SEC deadlines, filing success plans and 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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Data Breaches and the Modern Business Environment

Data breaches dominated the headlines this fall, as credit agency Equifax and the Securities and Exchange Commission both suffered serious cyberattacks. In light of the hacks, the corporate world is grappling with how to protect itself.

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 new age of cybersecurity. 

Toppan Vintage question: Given the frequency of data breaches, do you think they are becoming an inevitable part of the modern business environment? Should investors and the public be concerned every time one occurs? Leading experts weigh in...

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IPOs and Transactions: December 25 - December 29

There were 38 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services, including Assembly Biosciences Inc w/ Goodwin Procter LLP, Novavax Inc w/ Ropes & Gray LLP, Mota Group Inc w/ Sullivan & Worcester LLP, Old Point Financial Corp w/ Troutman Sanders LLP, Iovance Biotherapeutics Inc w/ TroyGould PC, Old Point Financial Corp w/ Williams Mullen.

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.

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

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Lessons from Failed Deals: Choose Advisors Carefully

The certainty that some deals will go wrong — combined with an inability to see warning signs in advance — indicates more resources might be fruitfully devoted to playing out pessimistic scenarios and checking assumptions.

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 #7: Choose advisors carefully. Leading deal experts weigh in...

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SEC closed for New Year's Day - January 1, 2018



In honor of New Year's Day, the SEC is closed on Monday, January 1, 2018. No filings can be received. 

Filings submitted after 5:30 pm ET, Friday, December 29, 2017 will receive a filing date of Tuesday, January 2, 2018 and will be posted to the public on January 2, 2018.

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SEC Regulators Eye Cyber Breaches, Disclosure in 2018

By, Bloomberg BNA

Data and email breaches like those recently reported by Equifax, Deloitte, and Uber are on the rise, and this has regulatory officials at the U.S. Securities and Exchange Commission ready to assess cyberattack disclosures with fresh eyes.

There is no question that reporting breaches is a must for companies and consumers, but it’s the “what,” “when” and “how much” information to report that is often at issue. Equifax took three weeks to disclose its data theft after the breach reportedly became known on July 29, while Uber reportedly didn’t tell anyone its customers’ personal data was hacked for a year. The SEC even announced earlier this year that one of its own systems had been breached.

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CFO Tip: Create a Culture

To borrow a phrase from the world of sports, the best offense is a good defense when it comes to managing compliance issues. Delaying the inevitable changes to business processes and technology necessary for regulatory compliance is not a winning strategy. It is much more effective to be proactive and take advantage of the opportunity to not only revamp systems and processes to meet new standards, but also to improve performance and visibility.

It is difficult to keep up with so many sweeping changes to compliance issues, as they impact systems and functions
throughout the organization. While compliance has primarily been viewed as a finance function, CFOs need to communicate and collaborate with internal experts who will be impacted by changes such as lease accounting and revenue recognition.

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