Financial Transactions and Regulatory Compliance Review

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

The SEC's Tough Road Ahead

Toppan Vintage, a trusted financial printing and communications company, in partnership with Mergermarket, is pleased to present an excerpt from the newest edition of M&A Pulse newsletter, focused on the SEC breach and the new age of cybersecurity. 

In August 2017, the Securities and Exchange Commission issued a “Risk Alert”1 on cybersecurity that described the results of a recent examination of 75 companies’ security frameworks. The findings struck a note of optimism, saying that nearly all the examined companies maintained written cybersecurity related policies and procedures.

However, the document also said the firms “did not appear to adhere to or enforce [the] policies and procedures.” In other words: the firms mostly had cybersecurity frameworks on paper only.

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Cloud-Based Document Management: Bigger Spends, Tighter Security

By, Bloomberg BNA

There are divergent reactions among managers and businesses over just how much business should be done in the cloud—and even whether the cloud is indeed the “must be” place for many firms and their operations.

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IPOs and Transactions: December 4 - December 8

There were 35 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesincluding Corporacion America Airports S.A. w/ Greenberg Traurig, LLP, Columbia Financial Inc w/ Kilpatrick Townsend & Stockton LLP, Corporacion America Airports S.A. w/ Linklaters LLP, Columbia Financial Inc w/ Silver, Freedman, Taff  & Tiernan LLP, Arqule Inc w/ Arnold & Porter Kaye Scholer LLP, Arqule Inc w/ ArQule, Inc., Jakks Pacific Inc w/ Feder Kaszovitz LLP, China Sxt Pharmaceuticals Inc w/ Hunter Taubman Fischer & Li LLC, Aevi Genomic Medicine Inc w/ Pepper Hamilton LLP, China Sxt Pharmaceuticals Inc w/ Sichenzia Ross Ference Kesner 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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The State of the Deal: Trends That Will Drive M&A in 2018

By, Russell Thomson, National Managing Partner at Deloitte; Susan Dettmar, Principal with Deloitte; Mark Garay,  Managing Director at Deloitte. 

View full article from Transaction Advisors, here.
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Private Equity: Finding Attractive Investment Opportunities in Today's Market

With new fundraising contributing to an already record amount of dry powder, private equity firms are facing a competitive dealmaking landscape and rising valuations for targets. With competition heating up, experts disagree on whether investment opportunities will be easier or more difficult to come by. 

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: How will finding attractive investment opportunities change compared to 12 months ago? Leading deal experts weigh in...

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Best Compliance Advice: Start Early

Typically, there is ample time to prepare when a new regulation or change to an existing regulation is announced. Smart finance executives don’t squander the opportunity to review their systems and processes, with a view toward not only meeting new regulations but also improving performance.

Leaders such as Microsoft are getting ahead of looming deadlines for changes in the revenue recognition and lease accounting standards. The software giant adopted the two new accounting standards this past summer, in plenty of time to meet compliance deadlines.

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Video: November 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 November's top law firms.

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IPOs and Transactions: November 27 - December 1

There were 40 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesincluding A M Castle & Co w/ A. M. Castle & Co., A M Castle & Co w/ McDermott Will & Emery LLP, Cision Ltd w/ Cision Ltd., Rw Holdings Student Housing Reit Inc w/ Corporate Law Solutions, PC, Innovative Industrial Properties Inc w/ Foley & Lardner LLP, Cision Ltd w/ Kirkland & Ellis LLP, Ocean Power Technologies Inc w/ Porter Hedges LLP, Sinorama Corp w/ Robert Brantl, Esq., Guardion Health Sciences Inc w/ Sheppard, Mullin, Richter & Hampton LLP, Hall Structured Finance II Llc 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.

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

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The Biggest Driver of Private Equity Deal Activity

Private equity is continuing to attract investor capital as 2017 closes, 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. 

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 believe is the biggest driver of private equity deal activity? Leading deal experts weigh in...

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A Snapshot of Current Compliance Concerns - From the Desk of a CFO

There are a lot of balls in the air currently when it comes to compliance, making it challenging for CFOs to stay on top of a wide range of changes.

The new revenue recognition standard is one of the biggest compliance concerns looming today. The new standard from the Financial Accounting Standards Board (FASB) significantly increases the amount of information companies are required to disclose about their revenue activities and related transactions.

Although the new disclosure requirements don’t take effect for many companies until 2018, that doesn’t mean they can wait until the end of next year to deal with them. This is particularly true for public companies registered with the SEC.

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How Mutual Fund SEC Filings Compare to Corporate Issuer Filings

Our ETF and mutual fund teams are experts with the intricacies (and deadlines) of mutual fund reporting e.g. keeping track of the very subtle changes, prospectus-by-prospectus, across a trust.

Although the SEC filings for ’40 Act documents are no more “accurate” than ’33 and ’34 Acts, the process and volume of work, per client, can be much greater. Our WorkStream process diagram illustrates that.

Request our 2018 MF & ETF Calendar for even more clarity. 

 

 

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IPOs and Transactions: November 20 - 24

There were 32 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesincluding Enerjex Resources Inc w/ Dickinson Wright PLLC, Shineco Inc w/ Hunter Taubman Fischer & Li, LLC, Rimini Street Inc w/ Rimini Street, Inc., Rimini Street Inc w/ Wilson Sonsini Goodrich & Rosati, 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.

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

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SEC closed for Thanksgiving - November 23, 2017



In honor of Thanksgiving Day, the SEC is closed on Thursday, November 23, 2017. No filings can be received. 

Filings submitted after 5:30 pm ET, Wednesday, November 22, 2017 will receive a filing date of Friday, November 24, 2017 and will be posted to the public on November 24, 2017.

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Bloomberg Radio Interviews Toppan Vintage and Intralinks on Global Strategic Alliance

Allan Robertson, Senior Vice President, Intralinks Asia Pacific and Christabel Lee, Managing Director, Toppan Vintage, joined Bryan Curtis and David Ingles, Bloomberg Radio, to discuss the new strategic alliance between the two companies, and trends in M&A in Asia.

Toppan Vintage, a leading international financial printing, communications and technology company and Intralinks®, the world’s leading Virtual Data Room (VDR) provider, announced today a strategic partnership.

Intralinks and Toppan Vintage will jointly market and develop a suite of best-in-class services for deals, including the leading virtual data room, the industry’s only auto-pagination typesetting system and traditional financial printing services. Combining the best VDR and financial printing and communications solutions will enable dealmakers and issuers to be more productive than ever.

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Intralinks and Toppan Vintage Announce Global Strategic Alliance

 Industry-leading VDR and world’s largest printing group empower dealmakers and corporate issuers with world-class technology and expertise

Toppan Vintage, a leading international financial printing, communications and technology company and Intralinks®, the world’s leading Virtual Data Room (VDR) provider, announced today a strategic partnership.

Intralinks and Toppan Vintage will jointly market and develop a suite of best-in-class services for deals, including the leading virtual data room, the industry’s only auto-pagination typesetting system and traditional financial printing services. Combining the best VDR and financial printing and communications solutions will enable dealmakers and issuers to be more productive than ever.

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IPOs and Transactions: November 13 - 17

There were 71 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions servicesHudson Ltd w/ Cravath, Swaine & Moore LLP, Hudson Ltd w/ Davis Polk & Wardwell LLP, Advantage Insurance Inc w/ Holland & Knight LLP, Advantage Insurance Inc w/ Manatt, Phelps & Phillips, LLP, Advantage Insurance Inc w/ Vidal, Nieves & Bauzá, LLC, Northstar Real Estate Capital Income Fund-C w/ Clifford Chance US LLP, Farmmi Inc w/ Ellenoff Grossman & Schole LLP, Escondido Innovations Inc w/ Gallagher & Kennedy P.A., Farmmi Inc w/ Kaufman & Canoles, P.C., Bio-Path Holdings Inc w/ Winstead 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.

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

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2018 Mutual Fund & ETF Filing Dates Calendar

To help keep track of the varying filing deadlines across funds with different fiscal-year-ends, we’re pleased to offer our 2018 Mutual Fund & ETF Filing Calendar. Most importantly, ensure that you stay ahead of the SEC's new Form N-PORT and Form CEN requirements. 

Both mailed to you to hang up on your bulletin board and as a download, you’ll find this colorful and segmented by your fiscal-year-end calendar perfect to remind you of those key filing and mailing dates.

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Download Now - 2018 SEC Filing Calendar

It's that time of the year again. The SEC EDGAR Deadline dates for 2018 are top of mind and Toppan Vintage's at-a-glance calendar can help mitigate the risk of missing important deadlines. 

The SEC Filings Calendar lays out the due dates and deadlines for every form the SEC requires subject companies to fill out in order to correctly report all transactions for public record and regulatory review.

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The State of Private Equity: Expert Regional Investment Predictions

Investors continue to pour capital into private equity, even as PE firms face rising valuations and competition for targets. However, volatility across global markets raises the question of which regions will see the most PE activity in the year ahead.

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: Which regions are likely to see the most private equity investment in the next 12 months? Leading deal experts weigh in...

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IPOs and Transactions: November 6 - 10

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 Chimerix Inc w/ Cooley LLP, Clearsign Combustion Corp w/ Cooley LLP, Howard Bancorp Inc w/ Covington & Burling LLP, Clearsign Combustion Corp w/ Ellenoff Grossman & Schole LLP, Howard Bancorp Inc w/ First Mariner Bank, Howard Bancorp Inc w/ Venable LLP, Checkpoint Therapeutics Inc w/ Alston & Bird LLP, Sslj. Com Ltd w/ Ellenoff Grossman & Schole LLP, Cellectar Biosciences Inc w/ Michael Best & Friedrich LLP, Sslj. Com Ltd w/ Ortoli Rosenstadt LLP, Sorrento Therapeutics 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.

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

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2018 SEC FILING CALENDAR - DOWNLOAD NOW

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2018 MUTUAL FUND & ETF FILING DATES - DOWNLOAD NOW

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UNICORNS: WHAT WILL HAPPEN OVER THE NEXT 12 MONTHS?

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