Our Capital market and securities legal services include providing legal services connected to the issuing, trading, and regulation of securities including carbon credit. These practices cover a wide variety of actions in financial markets, including maintaining compliance with securities rules and regulations and supporting capital raising initiatives. The following are the key components of capital market and securities law practices:
IPOs and public offerings.
- Preparations and Planning Company preparedness: Evaluates the company’s preparedness for an IPO, including corporate governance, financial reporting, and internal controls.
Due Diligence: Conducting extensive due diligence on the company’s operations, finances, and legal affairs to discover any risks and concerns.
- Regulatory Compliance.
Securities Filings: Creating and submitting registration statements to Financial Services
Disclosure Requirements: Ensure compliance with disclosure standards, such as risk factors, management discussion and analysis, and financial statements.
- Underwriting and distribution agreements: Drafting and negotiating agreements with underwriters, including details about the offering price, and indemnity.
Marketing the Offering: Assisting with the creation of roadshow materials and other marketing papers to promote the offering to prospective investors. - Private placements.
Private Offering Memorandums: Preparing private placement memoranda (PPMs) that provide thorough information on the firm and the securities for sale.
- Crowdfunding: Providing guidance on crowdfunding rules and platforms, including ensuring compliance with the law and regulations.
- M&A Transactions Securities elements of M&A: Providing guidance on the securities law elements of mergers and acquisitions, such as tender offers,
- Bond Offerings: Providing guidance on the issue of debt instruments such as corporate bonds, convertible bonds, and high-yield bonds. Indentures and Covenants:
- Fund Formation Securities Law Compliance: Providing guidance on the establishment and regulation of investment funds such as mutual funds, hedge funds, and private equity firms. Offering Documents: Creating prospectuses and private placement memoranda for investment funds.
- Corporate Actions: assisting corporate actions in capital market including material transaction, affiliated transaction, split stocks, debt to equity conversion, relisting and go private, and providing legal opinion for any corporate planning.
- Carbon trading: assisting carbon exchange license agreement, advising and preparing statement for carbon credit trading.
- Cross-border Offerings Global Compliance: Providing advice on international securities rules and regulations for cross-border offerings.