Financial Transactions and Regulatory Compliance Review

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

Finding and Securing the Right M&A Targets

By, Sven Wahle, Managing Director at Accenture Strategy in Munich and Takashi Yokotaki, Managing Director at Accenture in Tokyo.  

View full article from Transaction Advisors, here.
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The SEC Breach and the New Age of Cybersecurity

The year 2017 has seen a paradoxical evolution in cybersecurity threats. On the one hand, large, shocking breaches seem to be on the rise, such as the Equifax intrusion that compromised 143 million Social Security numbers. Massive damages have also been seen at the likes of FedEx and container shipping firm Maersk, both of which said attacks by the NotPetya ransomware would cost them up to US$300m.

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: Data breaches such as that of Equifax have become increasingly common across sectors and
geographies. Do you think hackers are becoming more sophisticated, or are companies’ systems more vulnerable? Or both? Leading experts weigh in...

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Toppan Vintage and Transaction Advisors Announce Exclusive Partnership

Leading international financial printing and communications firm sponsors M&A Conference Series

Toppan Vintage, a leading international financial printing, communications and technology company, announced today an exclusive partnership with Transaction Advisors, a prestigious technical journal that publishes select white papers, technical articles, and research studies on the critical issues impacting corporate transaction planning, structuring, and execution.

The partnership features Toppan Vintage’s role as exclusive partner for Transaction Advisors’ 2018 M&A Conference Series. The conference series includes the Chicago Middle Market M&A Conference at The University of Chicago, the San Francisco M&A Conference at Wharton San Francisco, the Chicago Public Company M&A Conference at The University of Chicago, and the 5th Annual Finance and M&A Industry Reception. Toppan Vintage’s clients and prospects will be provided with a discount on conference registrations for each of the events.

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Lessons from Failed Deals: Devote Extra Resources to Integration

M&A is not a step to be taken lightly. The nuances of a large deal can be mind-bogglingly complex, no matter how enticing the combination appears. Integrating two entities into a single coherent structure takes careful planning and the ability to counter unforeseen problems.

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 #6: Devote extra resources to integration. Leading deal experts weigh in...

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FCA Adopts Changes to Rules Governing Information Available for IPOs

By, Mark Bergman, Esq., Partner at Paul, Weiss, Rifkind, Wharton & Garrison LLP; John  Satory, Esq., Counsel in the Corporate Department of Paul, Weiss, Rifkind, Wharton & Garrison LLP; Sofia Martos, Esq., Associate at Paul, Weiss, Rifkind, Wharton & Garrison LLP. 

View full article from Transaction Advisors, here.
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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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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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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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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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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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IPOs and Transactions: December 18 - December 22

There were 64 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesincluding Eyenovia Inc w/ Ellenoff Grossman & Schole LLP, Eyenovia Inc w/ Goodwin Procter LLP, Fgl Holdings w/ Winston & Strawn LLP, Cinedigm Corp w/ Kelley Drye & Warren LLP, Phillips 66 Partners Lp w/ Latham & Watkins LLP, Platinum Eagle Acquisition Corp w/ Maples and Calder, Icahn Enterprises L.P. w/ Proskauer Rose LLP, Bionik Laboratories Corp w/ Ruskin Moscou Faltischek, P.C., Platinum Eagle Acquisition Corp w/ Skadden, Arps, Slate, Meagher & Flom LLP, Platinum Eagle Acquisition w/ Corp 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.

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

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Private Equity Exit Activity: 12 Month Forecast

Private equity is continuing to attract investor capital in 2017, 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. With an interesting market, experts disagree on the future of PE exit activity. 

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 do you expect to see in the way of private equity exit activity over the next 12 months? Leading deal experts weigh in...

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SEC Closed for Christmas Holiday - December 25, 2017



In honor of Christmas, the SEC is closed on Monday, December 25, 2017. No filings can be received. 

Filings submitted after 5:30 pm ET, Friday, December 22, 2017 will receive a filing date of Tuesday, December 26, 2017 and will be posted to the public on December 26, 2017.

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