Demystifying M&A securities processing: A behind the scenes look at shareholder services in M&A
In this session, the following topics are addressed from the perspective of a securities processing agent:
Overview of share ownership including ownership directly with a transfer agent (registered), ownership through a nominee entity (beneficial) and private securities ownership.
Overview of the types of M&A transactions most prevalent in today’s market.
Related services such as paying & exchange agent, tender agent, information agent, escrow agent as well as full corporate entity management.
Transaction process execution.
Discussion of timely topics, issues, and trends.
Unclaimed Property Implications: The risk of unidentified liabilities
This session provides:
An overview of unclaimed property & common types of assets that could be at risk for escheatment by individual states, compliance requirements, and reporting deadline rules.
How non-compliance can present a liability to the acquiring company in an M&A transaction and how proactive due diligence can be utilized to avoid any potential penalties.
Discussion of other timely topics, issues, and trends.
Demystifying IPOs
This comprehensive session covers the following:
Pre-IPO considerations for traditional IPOs, direct listings, and SPACs
Capital formation and corporate governance
The IPO journey and navigating the listing event
Post-IPO considerations – lock up releases and navigating the first year