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Monthly Archives: November 2017

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Who Audits Broker-Dealers

Posted on November 30, 2017 by Casey Furtado

Launched back in 2009, the Audit Analytics Broker-Dealer database now has nearly 16 years worth of audited annual and quarterly reports submitted to the SEC by broker- dealers. Key data points include auditor of the financial statements, assets, revenue, and contacts. For … Continue reading →

Posted in Broker Dealer, Market Share

2017 Transfer Agent Market Share

Posted on November 28, 2017 by Jessica Fritz

For the past five years, we have examined the market share of transfer agents engaged by active SEC registrants. During this time, we have noted only minor changes to the market share of the top five transfer agents- Computershare/BNY Mellon, … Continue reading →

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

Ranking the Equifax Data Breach (Updated)

Posted on November 21, 2017 by Derryck Coleman

Equifax [EFX] is the latest casualty of a massive data breach. Equifax recently disclosed that a cybersecurity incident may have affected 145.5 million U.S. consumers. According to Equifax, the incident occurred between May and July 2017. The breached information included names, Social Security numbers, … Continue reading →

Posted in Cybersecurity

Reporting multiple Earnings Per Share numbers – General Electric is not alone

Posted on November 20, 2017 by Olga Usvyatsky and Derryck Coleman

On the recent Q3 earnings call, General Electric [GE] pledged to simplify adjusted EPS (Earnings Per Share) numbers that are being reported to investors. Among other things, Jamie Miller, the incoming CFO of GE, plans to move off reporting industrial and … Continue reading →

Posted in Non-GAAP

Ineffective Disclosure Controls, an Eleven Year Update

Posted on November 14, 2017 by Joey Bonaldi and Nicolas Fjellman

Section 302 of the Sarbanes-Oxley Act (SOX 302) mandates that public companies establish a system of effective Disclosure Controls. The signing officers are required to certify that that they (1) are responsible for establishing and maintaining disclosure controls and procedures, … Continue reading →

Posted in Disclosure Controls (SOX 302)

Adopting the 2013 COSO Framework: Fiscal 2016 Update

Posted on November 8, 2017 by Kati Manyak

By now, every company should be using the COSO 2013 Framework in conjunction with their annual evaluations. In updating last year’s analysis, we discovered otherwise. Although the original version of the framework released in 1992 was superseded by the 2013 … Continue reading →

Posted in COSO, Internal Controls (ICFR - SOX 404)

SOX 404 Disclosures: A Thirteen Year Review

Posted on November 3, 2017 by Jessica McKeon

The Sarbanes-Oxley Act of 2002 was passed by Congress to better protect investors. Section 404 of this act (SOX 404) requires companies to review their internal controls over financial reporting (ICFR) and declare whether their ICFRs are “effective” or “ineffective”. … Continue reading →

Posted in Internal Controls (ICFR - SOX 404), Reports

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