This guide gives an overview of main equity markets/exchanges, regulators and legislation, listing requirements, offering structures, advisers, prospectus/offer document, marketing, bookbuilding, underwriting, timetables, stabilisation, tax, continuing obligations and de-listing.
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February 032023
Regulation Best Interest – SEC Observations from Broker-Dealer Examinations
SEC risk alert highlights areas of deficiencies and examples of weak practices
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February 022023