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Monthly Archives: October 2013

Aging Dodd-Frank Act Brings More Robust Private Fund Data

Posted on October 28, 2013 by Brendan Hannen

It’s been three years since the Dodd-Frank reforms were signed into law. Title IV of the act included expanded registration and disclosure requirements for registered investment advisers. Last year, we wrote an analysis of the top Private Fund Administrators. Unsurprisingly, … Continue reading →

Posted in Financial Services (OIA), Market Share, Private Funds

Auditor Ratification: Shareholders Appear Content

Posted on October 21, 2013 by John Pakaluk

Since a change in regulation came about in 2010, it has become significantly more common for shareholders to vote on the company’s independent auditor. That change, first implemented by the NYSE and then approved by the SEC, limited a broker’s … Continue reading →

Posted in Accounting + Oversight, Auditor Ratification, Shareholder Activism

2013 Transfer Agent Market Share: AST Still On the Rise

Posted on October 14, 2013 by Jessica Fritz

Last year, we looked at the Transfer Agents engaged by SEC registrants and found that the SEC market was dominated by a few agencies. Computershare/BNY Mellon (Computershare) led the pack with 30.9% of total market share, and American Stock Transfer … Continue reading →

Posted in Corporate + Legal, Initial Public Offerings (IPO), Market Share, Transfer Agents

IPO Pending? Top Private Placements in Tech Companies

Posted on October 7, 2013 by John Pakaluk

With the economy seemingly headed towards recovery and unemployment stabilizing, it appears that the crisis of 2008 may finally be just a memory. At the very least, it seems that the capital markets are in good shape. IPOs are on the rise again, and market … Continue reading →

Posted in Corporate + Legal, Initial Public Offerings (IPO), Private Placements
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