Regulatory Compliance Certification Services | EQ

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Home Public Governance, Proxy & Ownership Services Ownership Intelligence Regulatory Compliance Certification

Overview

EQ does the heavy lifting to ensure that your company is in full regulatory tax compliance. Often, companies are required to comply with regulations that restrict ownership to specific geographic locations, or that require them to monitor investor ownership changes. In many instances, these regulations have tax implications. As an ownership expert, EQ helps you navigate these challenges if the required information is not readily available through SEC filings.

Our Services

Regulatory Tax Compliance

EQ’s Regulatory Tax Compliance Services offer solutions to help companies identify their holders, including countries of citizenship. To prove the domiciliation of assets, meet SEC reporting requirements and avoid any ensuing negative publicity, we offer:

  • Foreign Private Issuer Status Analysis
  • Jones Act Compliance Analysis
  • Geographic Ownership Studies

Institutional & Retail Ownership

While institutional investors only manage the shares owned by beneficial owners, our Regulatory Compliance Services provide data on the individuals who own and receive the benefits of dividend distribution and proxy voting rights.

EQ manages this onerous task by providing information regarding domiciliation of equity, debt, and/or warrants to governing and regulatory bodies for North American multinational corporate clients and Foreign Private Issuers.

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