According to the U.S. Securities and Exchange Commission (SEC), when a Foreign Private Issuer (FPI) that has listed its securities in the United States, the FPI becomes subject to reporting obligations under Section 13 of the US Securities Exchange Act of 1934 (Exchange Act) – FPIs have two primary reporting obligations: 1.) filing an Annual Report on Form 20‑F within four months after fiscal year end, as required by Exchange Act Rule 13a‑1; and 2.) furnishing reports on Form 6‑K from time to time, as required by Exchange Act Rule 13a‑16

DFIN’s strategies to protect your company’s dark data

Dannie Combs contributed an article for Cyber Defense Magazine to highlight the risk that storing dark data (information that an organization collects, stores for compliance or other reasons, and then doesn’t use, through neglect, lack of interest, or need) poses to a company.

Dannie Combs contributed an article for Brilliance Security Magazine to highlight the risk that storing dark data (information that an organization collects, stores for compliance or other reasons, and then doesn’t use, through neglect, lack of interest, or need) poses to a company.

The SEC finalised the new Tailored Shareholder Reports Ruling on October 26, 2022. The final ruling had several notable changes from the original proposal and presents significant changes for the industry.

In fact, the SEC estimates that new ruling will impact nearly 12,000 funds/ETFs and 32,000 share classes.

Understanding the ruling can be both complex and time consuming. DFIN has been closely reviewing all aspects and interpretations, as well as the impact on the industry and end investor.

Dannie Combs, Chief Information Security Officer at DFIN, dives into the risks of burnout and stress among CISOs and why an adequate level of support from the organization can contribute to cybersecurity excellence.

Life Science Sales Director, Luke Marshall from EMEA, provides his insight on the future of SPACs and how the process is still promising for biopharma companies to go public.

Looking at trends in practice and in disclosure, Ron Schneider, Director of Corporate Governance Services at DFIN shares key insights on shareholder engagement relating to ESG.

Get to know Dannie Combs, DFIN’s Senior Vice President and Chief Information Security Officer, as well as a newly appointed member of the CNBC Technology Executive Council. He recently sat down with CNBC’s Susan Caminiti and talked about his upbringing and background in the tech space.

Darren Wray contributed an article for Cyber Defense Magazine to highlight the importance of cyber preventative maintenance and how DFIN helps businesses of all sizes protect their proprietary data with its Data Protect Solutions.

In 2017, the Financial Conduct Authority (FCA) realised through a market survey that intuitional investors were struggling to gather cost information to use in their investment decisions. To address this, the FCA issued a policy statement (PS17/20) to improve the disclosure of transaction costs in workplace defined contribution pensions. This led to the creation of the Defined Contribution Pensions Template (DCPT).