Law360 recently published a feature story from DFIN’s President of Global Capital Markets, Craig Clay, and Director of Corporate Governance Services, Ron Schneider, titled, It’s Proxy Season – Transforming How You Engage Shareholders and Activist Investors. 

Equilar recently released its annual “Preparing for Proxy Season” report, based on analysis of the proxy statements including CD&A’s of the Equilar 100 companies (the 100 largest US companies by revenues) from 2020 through 2024. DFIN was asked to provide independent commentary for the report, adding insight and advice to the numbers.

Key data in the report includes:

What lies ahead for the global investment industry in 2025? From navigating the post-Tailored Shareholder Reports (TSR) world to charting new territories on AI — both alternative investments and artificial intelligence — to measuring the impact and influence of new global requirements, we can expect more change with greater momentum. In this article, Eric Johnson, DFIN’s president of Global Investment Companies, addresses the top questions facing fund and asset companies heading into 2025.

I recently had the opportunity to share my thoughts on leadership and investor relations in IR Update, a quarterly magazine published by the National Investor Relations Institute (NIRI). As a CEO, I believe that strong Investor Relations (IR) is the cornerstone of success for publicly traded companies. IR is not just a function; it's the bridge connecting companies with the capital markets, ensuring that vision, strategy, and value proposition are clearly communicated.

The SEC has amended the 2001 fund “Names Rule” and the resulting changes likely affect a fund’s investment policy, disclosures and reporting obligations. The original rule addressed certain broad categories of investment company names that can mislead investors about the company’s investments and risks. The recent amendment significantly expands the scope of the original ruling.

Struggling with complex Annual Consolidated Financial Reports, (ACFR), Budgeting, and other reporting tasks? Cut through the tangle of financial reporting with effective government financial reporting software. Expect to find practical insights into cloud-based innovations and collaborative techniques that bring simplicity and precision to your ACFR, Budget and other reporting process, meeting the pressing demand for compliance and accuracy in financial and other disclosure.

Last Wednesday, the Securities and Exchange Commission (SEC) voted 3-2 to adopt rules that make SPAC (Special Purpose Acquisition Company) deals similar to traditional IPOs. 

On June 5, 2024, a petition for review was filed with the United States Court of Appeals for the Fifth Circuit vs the Securities and Exchange Commission (SEC). As a result, this rule affecting Private Funds has been vacated. The final ruling was that the SEC had exceeded its statutory authority in adopting the Final Rule

DFIN CISO, Dannie Combs, talks with Katie Kuehner-Hebert of StrategicCIO360 about how IT professionals can best protect their organizations. 

In a Q&A, they discuss risk management strategies, how organizations can get better visibility into their data, why managing identities is such an important part of an organization’s cybersecurity strategy, and the latest data regulations companies need to be aware of.

As we reflect on 2023 and look toward 2024, it’s clear that the fintech industry is experiencing an unprecedented period of change in terms of regulatory proposals, technology and data. In this article, Eric Johnson, DFIN’s president of Global Investment Companies, shares his view on the key factors shaping the industry now.

SEC regulations and the rise of structured data

During the last few years, we’ve seen both the volume and the pace of SEC regulations increase exponentially, with no slowdown in the immediate future.