Transfer agents are appointed by companies with publicly traded securities to track individuals that own their stocks and bonds. Audit Analytics annually examines the market share of transfer agents appointed by active SEC registrants, looking at the absolute number of … Continue reading
Category Archives: Corporate + Legal
Accounting and Auditing Enforcement Releases (AAERs): Q1 and Q2 of 2019
An extended version of this article was first available to subscribers of Accounting Quality Insights by Audit Analytics on Bloomberg, Refinitiv Eikon, FactSet, and S&P Global. The Securities and Exchange Commission (SEC) provides a list of certain enforcement actions related … Continue reading
Considering Internal Whistleblower Systems When Evaluating External Risk
Whistleblowers can serve as an integral component for identifying and stopping securities fraud. According to PricewaterhouseCooper’s 2016 Global Economic Crime Survey, 33% of suspicious activity was identified by internal reporting from staff and an additional 10% of suspicious activity was … Continue reading
A Look Back at 2018
As 2018 comes to an end, let’s look back at some of our top posts and topics we’ve covered this year. Quarterly Updates The following posts are updated each quarter: IPOs: Auditor Market Share and Stats Auditor Changes Annual Updates … Continue reading
2018 Transfer Agent Market Share
For the past several years, we have observed the market share of transfer agents engaged by active SEC registrants. Computershare/BNY Mellon, American Stock Transfer & Trust (AST)1, Wells Fargo, and Continental Stock Transfer & Trust have remained in the top … Continue reading
Cybersecurity Breaches Every Lawyer Should Consider
In 2018, the SEC issued new guidance on cybersecurity disclosures and policies, in response to the 65% of companies that were not disclosing breaches. What does this mean for lawyers and the legal field? Through Audit Analytics’ unique Cybersecurity Data … Continue reading
Litigation Overview for the Russell 3000
An analysis of the Russell 3000’s material litigation since January 1, 2015, yields over 2,500 cases filed in U.S. federal courts as of May 9, 2018. While the allegations in each case are unique, the five most common natures-of-suit (NOS) … Continue reading