In the fast-paced legal world, managing sensitive information securely and efficiently is not just a priority — it’s a necessity. The digital tools law firms use must meet a wide range of stringent privacy and compliance standards, including SOC 2, GDPR and HIPAA. That’s where legal data rooms step in, offering a robust solution that goes beyond traditional document storage. These platforms are transforming how legal teams collaborate, store critical data and meet stringent regulatory requirements.

When publicly traded companies approach their filing deadlines with the United States Securities and Exchange Commission, they need to include all the correct information necessary for a fault-free filing. Many businesses look at their competitors to get insight into the ways that disclosures should be completed, but they can also look at their own historical filings.

On 28 October 2025, DFIN proudly partnered with the London Stock Exchange Group (LSEG) in Singapore to support the Asia Pacific Capital Markets Forum. This influential event brought together leading voices from Ashurst, Peel Hunt, and DFIN, alongside special guest Eben Upton, CEO of Raspberry Pi, to explore why London continues to be a compelling venue for Asia Pacific companies seeking global capital access.

Featured speakers:

The AI Revolution in Financial Reporting

Artificial intelligence is redefining how the finance industry approaches data analysis, compliance, and reporting.

What is SEC Form TA-2?

SEC Form TA-2 is an annual report required under Rule 17Ac2 of the Securities Exchange Act of 1934, designed to give the SEC a clear picture of each registered transfer agent not regulated by a federal banking authority. The form captures detailed operational data, from transfer volumes and dividend disbursements to proxy services and technology updates, creating a complete view of a transfer agent’s activities during the reporting period.

SEC Regulation S-K is a foundational set of rules established by the Securities and Exchange Commission (SEC)that focuses on qualitative descriptions. It applies to registration statements, periodic reports, and other submissions under both the Securities Act of 1933 and the Securities Exchange Act of 1934.

What Is SEC Rule 16b-3?

SEC Rule 16b-3 is part of the Securities Exchange Act and specifically falls under Exchange Act Section 16(b). It was created to provide exemptions from the short swing profit rule, which requires certain insiders to return any profits made from buying and selling issuer equity securities within a six-month period. This provision helps companies maintain legitimate executive compensation programs, such as equity-based incentive awards, without unintentionally triggering insider trading concerns.

What is a 10-K form? Every publicly traded company is required to file financial reports with the Securities and Exchange Commission, or the SEC. The SEC Form 10-K offers a comprehensive snapshot of the company's financial health throughout the year, almost like an annual report for the business numbers. Ensuring these filings are completed on-time and accurately is essential for maintaining regulatory compliance, otherwise companies risk heavy sanctions.

SEC Rule 10b5-1 is a provision under the Securities Exchange Act of 1934. The rule allows company insiders to prearrange trades of company stock without running afoul of insider trading laws, so long as certain conditions are met. It provides an affirmative defense against accusations of insider trading if trades are made under a properly established 10b5-1 trading plan.

Shareholders of public companies have the opportunity to choose board members during elections. In the past, the process was relatively straightforward; however, new universal proxy card rules have brought waves of change. This is particularly true in cases where there are disagreements over who should join the board.