Financial Transactions and Regulatory Compliance Review

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

IPOs and Transactions: December 10 - 14

There were 47 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Cimarex Energy Co w/ Akin Gump Strauss Hauer & Feld LLP, First Bancshares Inc w/ Alston & Bird, LLP, Cimarex Energy Co w/ Arnold & Porter Kaye Scholer LLP, Enphase Energy Inc w/ Arnold & Porter Kaye Scholer LLP, Enphase Energy Inc w/ Arnold & Porter Kaye Scholer LLP, Ready Capital Corp w/ Clifford Chance US LLP, Eyenovia Inc w/ Duane Morris LLP, Neos Therapeutics Inc w/ Goodwin Procter LLP, Asia Times Holdings Ltd w/ Hunter Taubman Fischer & Li LLC, Weatherford International Inc w/ Latham & Watkins LLP, Asia Times Holdings Ltd w/ Ortoli Rosenstadt LLP, Ready Capital Corp w/ Owens Realty Mortgage, Inc., Sorrento Therapeutics Inc w/ Paul Hastings LLP, Cimarex Energy Co w/ Resolute Energy Corp., First Bancshares Inc w/ Silver, Freedman, Taff & Tiernan LLP, Sorrento Therapeutics Inc w/ Sorrento Therapeutics, Inc., Ready Capital Corp w/ Vinson & Elkins L.L.P., Eyenovia Inc w/ Wyrick Robbins Yates & Ponton 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.

Continue reading

Pros and Cons of a Biannual Reporting Period

Unlike some former presidents, Mr. Trump has taken a noticeable interest in SEC policy. In August, he asked the Commission to study switching corporate financial reporting to a biannual schedule in place of the current quarterly system. The president's favored means of communication—social media—is also a topic of concern for the SEC, as some CEOs pioneer the use of new channels of communication with investors.

To find out what market observers see as the best ways to address these matters, Mergermarket on behalf of Toppan Vintage spoke with four experts.

Toppan Vintage question: In August, President Trump contributed to the debate regarding the merits of quarterly vs biannual financial reporting. What benefits and drawbacks do you feel would accompany a switch to a biannual reporting period? Leading industry experts weigh in...

Continue reading

Effects of Cultural Similarity on M&A

Continue reading

Regulation of Proxy Advisory Firms and Market Impact

Over the year ahead, the Securities and Exchange Commission is expected to face a full slate of challenges related to corporate governance and financial disclosure. In particular, the Commission will be reviewing the possible regulation of proxy advisory firms and studying a switch to biannual reporting, among other issues.

To find out what market observers see as the best ways to address these matters, Mergermarket on behalf of Toppan Vintage spoke with four experts.

Toppan Vintage question: The issue of regulating proxy advisory firms is hotly debated. Do you think such regulation is necessary? And what effect do you think it would have on the market? Leading industry experts weigh in...

Continue reading

SEC Draft Strategic Plan Focuses on Technology’s Impact

The SEC recently published its draft strategic plan for 2018-2012 (read the PDF here). In the plan, the SEC reiterates its commitment to modernizing SEC filers’ financial data in ways that improve the ability of both Wall Street and Main Street investors to make informed investment decisions.

As investors increasingly make investments informed by extensive data analytics and executed through algorithms on electronic platforms, it’s imperative the SEC keep pace with the evolving capital markets.

Continue reading

IPOs and Transactions: December 3 - 7

There were 37 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Pareteum Corp w/ Cooley LLP, Pareteum Corp w/ iPass Inc., Farmmi Inc w/ Kaufman & Canoles, P.C., Merchants Bancorp w/ Krieg DeVault LLP, Inspire Medical Systems Inc w/ Latham & Watkins LLP, Simply Good Foods Co w/ Perkins Coie LLP, Comtech Telecommunications Corp w/ Proskauer Rose LLP, Inspire Medical Systems Inc w/ Shearman & Sterling LLP, Majesco w/ Sheppard, Mullin, Richter & Hampton LLP, Pareteum Corp w/ Sichenzia Ross Ference LLP, The Rmr Group Inc w/ Skadden, Arps, Slate, Meagher & Flom LLP, Mvb Financial Corp w/ Squire Patton Boggs LLP, U.S. Well Services Inc w/ Winston & Strawn LLP, Waitr Holdings Inc 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.

Continue reading

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.

Continue reading

IFRS Foundation Proposes Updates to IFRS Taxonomy

The IFRS Taxonomy 2018 is changing. The IFRS Foundation has proposed updates to the taxonomy and has made the changes available to the public for comment.

Continue reading

Give Investors What They Want In Your Proxy Statement

With the 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:

Continue reading

SEC closed in honor of President George H.W. Bush - December 5, 2018



In honor of former President George H. W. Bush, the SEC is closed Wednesday, December 5, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Tuesday, December 4, 2018 will receive a filing date of Thursday, December 6, 2018 and will be posted to the public on December 6, 2018.

Continue reading

IPOs and Transactions: November 26 - 30

There were 23 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including Sirius International Insurance Group Ltd w/ Conyers Dill & Pearman Ltd., Sirius International Insurance Group Ltd w/ Sidley Austin LLP, Sirius International Insurance Group Ltd w/ Sirius International Insurance Group, Ltd.

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.

Continue reading

Impact of Protectionist Measures on Cross-Border Deal Activity

In the realm of deal activity it remains unclear what the impact of increasing protectionist measures has been exactly. Through the first nine months of 2018, global M&A value climbed 22% compared to the same period last year to reach US$2.7 trillion. The increase suggests confidence among buyers. At the same time, cross-border deal value grew 10%, while domestic deal value went up 27%—implying that acquirers may be looking more inward.

To find out how deal practitioners are responding to the changes in global trade, Mergermarket on behalf of Toppan Vintage spoke with six experts for their insights.

Toppan Vintage question: What effect, if any, do you think the current wave of protectionist measures is having on overall cross-border deal activity? Leading industry experts weigh in...

Continue reading

Accounting Implications Involving Partial and Step Acquisitions During the Past 10 Years

Continue reading

Dealmaking in China & Protectionism

Storm clouds have gradually moved over the economic landscape, in the form of tariffs. The U.S. has targeted the European Union, Canada and China with policies aimed at counteracting what the president sees as unfair trade practices. The targeted countries have responded with tariffs of their own on U.S. goods— and more import duties are being planned. Ripple effects are being felt throughout the world economy.

To find out how deal practitioners are responding to the changes in global trade, Mergermarket on behalf of Toppan Vintage spoke with six experts for their insights.

Toppan Vintage question: What are the best avenues of cooperation or transactional activity with China at the moment, given the protectionist measures being put in place? Leading industry experts weigh in...

Continue reading

SEC Cyber Security Enforcement: First Use of "Red Flags Rule"

In February 2018, the SEC voted unanimously to approve a statement and interpretive guidance to assist public companies in preparing disclosures about cybersecurity risks and incidents. Shortly thereafter, the SEC brought charges against Yahoo for failure to report data breaches in 2015-2016 periodic reports, and in recent months, the SEC has continued to signal their increased focus on this critical disclosure issue.

Continue reading

IPOs and Transactions: November 19 - 23

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 Twilio Inc w/ Cooley LLP, Pepsico Inc w/ Davis Polk & Wardwell LLP, Monocle Acquisition Corp w/ Ellenoff Grossman & Schole LLP, Twilio Inc w/ Goodwin Procter LLP, Chicken Soup For The Soul Entertainment Inc w/ Graubard Miller, Monocle Acquisition Corp w/ Greenberg Traurig, LLP, Immune Pharmaceuticals Inc w/ Lowenstein Sandler LLP, Pepsico Inc w/ PepsiCo, Inc., Twilio Inc w/ SendGrid, Inc., Twilio Inc w/ Twilio Inc.

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.

Continue reading

Government Delays Keep Bitcoin ETF Proposals in Play

After rejecting several proposals for the first Bitcoin ETF earlier this year, the Securities and Exchange Commission continues to seek more information on how exchanges can address fraud and manipulation concerns in the underlying Bitcoin markets.

Cboe BZX Exchange filed a rule change proposal on Jan. 5, 2018, with the Securities and Exchange Commission to list and trade shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF issued by the GraniteShares ETP Trust. The commission indicated in February and again in June that it needed more time to consider the proposal.

Continue reading

SEC closed for Thanksgiving - November 22, 2018



Due to Thanksgiving, the SEC is closed Thursday, November 22, 2018. No filings can be received.

Files submitted after 5:30 pm ET, Wednesday, November 21, 2018 will receive a filing date of Friday, November 23, 2018 and will be posted to the public on November 23, 2018.

Continue reading

Improve Shareholder Communications with Stylized Proxies

Current shareholder materials must engage, provoke and interact with your shareholders, yet provide your company’s data in a clear, concise way, using plain English. Your shareholder communications advisors must review your corporation’s voting results year-to-year, offer peer group analysis and provide education in best practices related to investor outreach. The goal is simple: to improve voting results and shareholder participation, eliminate unnecessary steps in the process and stay within budget requirements.

Continue reading

IPOs and Transactions: November 12 - 16

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 Union Bankshares Corp w/ Access National Corp., Platinum Eagle Acquisition Corp w/ Allen & Overy LLP, Union Bankshares Corp w/ Covington & Burling LLP, Rockwell Medical Inc w/ Gibson Dunn & Crutcher, LLP, Plug Power Inc w/ Goodwin Procter LLP, Netlist Inc w/ Mintz, Levin, Cohn, Ferris, Glovsky & Popeo, P.C., Plug Power Inc w/ Plug Power Inc., Eloxx Pharmaceuticals Inc w/ Proskauer Rose LLP, Apollo Medical Holdings Inc w/ Shartsis Friese LLP, Resonant Inc w/ Stubbs Alderton & Markiles, LLP, Union Bankshares Corp w/ Troutman Sanders LLP, Usa Compression Partners Lp w/ Vinson & Elkins LLP, Usa Compression Partners Lp w/ Vinson & Elkins LLP, Rockwell Medical Inc w/ Wilson Young Costello PLC, Platinum Eagle 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.

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

Continue reading

Subscribe to the Toppan Vintage Blog

Most Popular Articles

2018 SEC REPORTING RULES GUIDEBOOKS - PRE-ORDER FREE SET

Order now.  

2018 SEC FILING CALENDAR - DOWNLOAD NOW

Download the 2018 SEC Filing Calendar here.  

2018 MUTUAL FUND & ETF FILING DATES - DOWNLOAD NOW

Download the 2018 Mutual Fund & ETF Filing Dates here.  

2018 ETF HANDBOOK - DOWNLOAD NOW

Download the 2018 ETF Handbook here.

 

UNICORNS: WHAT WILL HAPPEN OVER THE NEXT 12 MONTHS?

Get your free whitepaper here

ANNUAL COMPLIANCE SUBSCRIPTION PACKAGE 

Click here to learn more about which XBRL service option best fits your team's business requirements and work standards.

Latest Blogs