Getting the Deal Through: Equity Derivatives 2020
Getting the Deal Through: Equity Derivatives 2020

The following In-house Advisor practice note provides comprehensive and up to date legal information covering:

  • Getting the Deal Through: Equity Derivatives 2020
  • Jurisdictions covered
  • Questions

Jurisdictions covered

The following jurisdictions are covered in this report:

Australia; Cayman Islands; France; Germany; Hong Kong; Japan; Mexico; Norway; Spain; Switzerland; United Kingdom; USA

Questions

The set of questions relating to the topic of Equity Derivatives and answered by the guide for each jurisdiction covered include:

  1. Other than transactions between dealers, what are the most typical types of over-the-counter (OTC) equity derivatives transactions and what are the common uses of these transactions?

  2. May market participants borrow shares and sell them short in the local market? If so, what rules govern short selling?

  3. Describe the primary laws and regulations surrounding OTC equity derivatives transactions between dealers. What regulatory authorities are primarily responsible for administering those rules?

  4. In addition to dealers, what types of entities may enter into OTC equity derivatives transactions?

  5. Describe the primary laws and regulations surrounding OTC equity derivatives transactions between a dealer and an eligible counterparty that is not the issuer of the underlying shares or an affiliate of the issuer? What regulatory authorities are primarily responsible for administering those rules?

  6. Do securities registration issues arise if the issuer of the underlying shares or an affiliate of the issuer sells the issuer’s shares via an OTC equity derivative?

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