Wells Fargo Banking on Stakeholder Relations Group

Posted by Angie Goertz on Jul 14, 2017 10:15:43 AM

As Wells Fargo’s fake account crisis played out, the wounded banking giant knew it needed to rebuild investors’ trust. To that end, it recently installed investor relations chief Jim Rowe at the helm of its new stakeholder relations group.

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Topics: Investor Relations, Investors, corporate communications

Red Alert: Rethinking Financial Report Color

Posted by Angie Goertz on Jul 11, 2017 10:03:29 AM

If your company thinks that using the color red in financial reports isn’t a problem for U.S. investors, think again.

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Topics: Financial Reporting, Investors

Testing, Testing: RIA Exams to Increase

Posted by Angie Goertz on Jun 30, 2017 12:18:48 PM

According to an Investment News report, despite a leaner Securities and Exchange Commission budget for the 2018 fiscal year beginning this October, registered investment advisors can expect more oversight, including a 5 percent increase in “risk-based examinations” to evaluate compliance with applicable regulatory requirements.

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Topics: SEC, Investors, Securities and Exchange Commision, Investment Advisors, Transfer Agents, Broker-Dealers

Activist Investor Can’t Stir Nestlé’s Strategy

Posted by Angie Goertz on Jun 26, 2017 4:24:26 PM

Despite calls for “radical change” at Nestlé from activist investor Daniel Loeb’s Third Point hedge fund, the company’s new chief executive, Mark Schneider, is standing firm with the company’s own vision for growth.

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Topics: Investor Relations, Shareholder Communication, Investors, Activist Investors, Shareholder Value

Asset Manager Wants Stronger Shareholder Rights

Posted by Angie Goertz on Jun 20, 2017 9:32:14 AM

The Financial Times reports that State Street Global Advisors, the third-largest asset manager in the world, has asked the Securities and Exchange Commission to prevent companies from adopting the controversial voting structures that give founders more power than shareholders.

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Topics: Finance, Investor Relations, Shareholder Rights, Investors

A Whole New Ballgame?

Posted by Angie Goertz on Jun 16, 2017 2:04:15 PM

What a week it’s been for Whole Foods and its investors.

Earlier in the week, Whole Foods CEO John Mackey blasted activist investor Jana Partners, calling them “greedy bastards” in a Texas Monthly interview. Among his claims, that Jana was using propaganda to destroy both his reputation and that of his company because of self-interest. 

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Topics: Finance, Investor Relations

Dodd-Frank Dismantling Begins

Posted by Angie Goertz on Jun 12, 2017 3:06:36 PM

Last week, the House passed a Republican-led bill, the Financial Choice Act, which was built to take down Dodd-Frank. The bill’s fate now lies in the Senate’s hands. 

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Topics: Compliance, reg a+, regulation, Dodd-Frank

Warming up the BMWi8 for NIRI….vroom vroom

Posted by Angie Goertz on Jun 1, 2017 9:12:35 PM

Issuer Direct is packing up and heading south to Orlando, Fla., for the NIRI Annual Conference, June 4-7.  Like this year’s theme, we also “Break the Mold.” We’re a different kind of company, offering a different kind of investor relations products to help drive change. Speaking of driving… 

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Topics: Investor Relations, Communications, Shareholder Communication, Events

Haste Makes Financial Instability?

Posted by Angie Goertz on Feb 10, 2017 3:55:15 PM

While potential changes to U.S. banking regulations are underway, the German exchange operator Deutsche Boerse advised the United States to proceed with caution in order to avoid another financial crisis.

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Rolling up Their Sleeves: “Big Fight” Ahead for Dodd-Frank

Posted by Angie Goertz on Feb 7, 2017 5:26:33 PM

Last week, President Trump signed an executive order that set into motion future changes to banking regulations. While these changes won’t be revealed for some time, there is speculation what those changes could entail and how they could potentially affect the banking industry.

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Topics: regulation