Getting the Deal Through: Securities Finance 2021

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

  • Getting the Deal Through: Securities Finance 2021
  • Jurisdictions covered
  • Questions

Getting the Deal Through: Securities Finance 2021

Jurisdictions covered

The following jurisdictions are covered in this report:

Germany; Japan; Luxembourg; Monaco; Qatar; South Africa; Switzerland; United Kingdom; USA

Questions

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

  1. What are the relevant statutes and regulations governing securities offerings?

  2. Which regulatory authority is primarily responsible for the administration of those rules?

  3. What regulatory or stock exchange filings must be made in connection with a public offering of securities? What information must be included in such filings or made available to potential investors?

  4. What are the steps of the registration and filing process? May an offering commence while regulatory review is in progress? How long does it typically take for the review process to be completed?

  5. What publicity restrictions apply to a public offering of securities? Are there any restrictions on the ability of the underwriters to issue research reports?

  6. Are there any special rules that differentiate between primary and secondary offerings? What are the liability issues for the seller of securities in a secondary offering?

  7. What is the typical settlement process for sales of

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