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Prospectus Directive
 
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description
Views: 152 Mikixxl1
Implications of the new Prospectus Regulation webinar preview
 
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In this webinar, Julie Shacklady and Kym Bavcevich-Ikeda of Linklaters talk about the implications of the new Prospectus Regulation. For the full webinar visit http://www.lexiswebinars.co.uk/legal/corporate-law/implications-of-the-new-prospectus-regulation-2018
Designing A European Summary Prospectus Using Behavioural Insights - Clip 2
 
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Sviatoslav Rosov, PhD, CFA, explains the prospectus regulation, one of the first elements of the Capital Markets Union (CMU) initiative to reach the legislative stage. Find out more about the new report in the CFA Institute Market Integrity Insights: http://cfa.is/2p3Hs5H
Views: 135 CFA Institute
Securities Law Introduction
 
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Professor Alastair Hudson introduces the Securities Law course. Securities Law Modules: • Module A: The foundations of securities regulation • Module B: Prospectus and transparency regulation of securities • Module C: Liability for misstatements in a prospectus • Module D: The Listing Rules and the Model Code Find out more about this course here: http://www.londoninternational.ac.uk/courses/postgraduate/llm-postgraduate-laws-llm-postgraduate-diploma-postgraduate-certificate#structure Find out more about the course convenor Professor Alastair Hudson: https://socialsciences.exeter.ac.uk/law/staff/hudson/
Designing A European Summary Prospectus Using Behavioural Insights
 
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Sviatoslav Rosov, PhD, CFA, discusses a CFA Institute template proposal for the summary prospectus regime envisioned under the European Union’s prospectus regulation. Find out more about the new report in the CFA Institute Market Integrity Insights: http://cfa.is/2p3Hs5H
Views: 426 CFA Institute
What is Regulation S?
 
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What is Regulation S? | Ahpaly Coradin | Coradin Law P.A. | Committed to Excellence | Contact Us | +1-305-714-9532 | http://coradinlaw.com/ | 200 South Biscayne Blvd, Suite 2790, Miami, FL 33131
Views: 946 Coradin Law P.A.
Prospectus for a future body: Ka Fai Choy at TEDxReset 2014
 
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KAI FAI CHOY Speculative Designer / Spekülatif Tasarımcı Prospectus for a Future Body / Geleceğin Vücudu için Prospectüs Born in 1979, Singapore, Ka Fai is an artist, performance maker and speculative designer. He is inspired by the histories and theorizations that together contain the uncertainties of the future. His research springs from a desire to understand the conditioning of the human body, its intangible memories and the forces shaping its expressions. These factors converge into complex articulations at the intersection of art, design and technology. Ka Fai graduated in Design Interaction from the Royal College Of Art London, with the Singapore National Arts Council Overseas Scholarship, and was conferred the Singapore Young Artist Award in 2010. His works have been presented in major festivals, such as the 25th Tanz Im August (2013), Singapore Arts Festival (2012), Festival Tokyo (2011), 2nd Asian Art Biennale (2009), 3rd Fukuoka Asia Art Triennale (2005). His works exhibited at major arts institution, including the Museum of Modern Art, New York (2014), The Israel Museum, Jerusalem (2012), White Chapel Gallery, London (2010), Singapore Art Museum (2009) and Haus der Kulturen der Welt, Berlin (2005). 1979 Singapur doğumlu olan Ka Fai bir sanatçı, performans yaratıcısı ve spekülatif tasarımcıdır. Geleceğin belirsizlğini kapsayan tarihler ve teorilerden ilham alır. Araştırmaları insan vücudunun koşullandırılmasını, elle tutulamayan hatıralarını ve ifadelerini şekillendiren güçleri anlamaya olan arzusundan besleniyor. Bu faktörler birleşip sanat, tasarım ve teknolojinin kesiştiği noktalarda kompleks şekillerde var oluyorlar. Ka Fai Londra Royal College of Art'ın Tasarım Etkileşim programından Singapur Ulusal Sanat Konseyi Yurtdışı Bursu ile mezun olmuş ve 2010 Singapur Genç Sanatçı ödülüne layık görülmüştür. İşleri the 25th Tanz Im August (2013), Singapore Sanat Festivali (2012), Festival Tokyo (2011), 2nd Asian Art Biennale (2009), 3rd Fukuoka Asia Art Triennale (2005) gibi büyük festivallerde sunulmuştur, ayrıca Modern Sanat Müzesi - MOMA, New York (2014), İsrail Müzesi Museum, Kudüs (2012), White Chapel Gallerisi, London (2010), Singapur Sanat Müzesi (2009) ve Haus der Kulturen der Welt, Berlin (2005) gibi büyük sanat kurumlarında da sergilenmiştir. In the spirit of ideas worth spreading, TEDx is a program of local, self-organized events that bring people together to share a TED-like experience. At a TEDx event, TEDTalks video and live speakers combine to spark deep discussion and connection in a small group. These local, self-organized events are branded TEDx, where x = independently organized TED event. The TED Conference provides general guidance for the TEDx program, but individual TEDx events are self-organized.* (*Subject to certain rules and regulations)
Views: 2783 TEDx Talks
What is LAMFALUSSY PROCESS? What does LAMFALUSSY PROCESS mean? LAMFALUSSY PROCESS meaning
 
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What is LAMFALUSSY PROCESS? What does LAMFALUSSY PROCESS mean? LAMFALUSSY PROCESS meaning - LAMFALUSSY PROCESS definition - LAMFALUSSY PROCESS explanation. Source: Wikipedia.org article, adapted under https://creativecommons.org/licenses/by-sa/3.0/ license. SUBSCRIBE to our Google Earth flights channel - https://www.youtube.com/channel/UC6UuCPh7GrXznZi0Hz2YQnQ The Lamfalussy Process is an approach to the development of financial service industry regulations used by the European Union. Originally developed in March 2001, the process is named after the chair of the EU advisory committee that created it, Alexandre Lamfalussy. It is composed of four "levels," each focusing on a specific stage of the implementation of legislation. At the first level, the European Parliament and Council of the European Union adopt a piece of legislation, establishing the core values of a law and building guidelines on its implementation. The law then progresses to the second level, where sector-specific committees and regulators advise on technical details, then bring it to a vote in front of member-state representatives. At the third level, national regulators work on coordinating new regulations with other nations. The fourth level involves compliance and enforcement of the new rules and laws. The Lamfalussy process has provided a significant impetus in delivering successful agreements on four key measures of the Financial Services Action Plan: the Market Abuse Directive, adopted on 3 December 2002; the Prospectus Directive, adopted on 15 July 2003; the Markets in Financial Instruments Directive (MiFID), adopted on 27 April 2004 and the Transparency Directive, adopted in 2004. The Lamfalussy Process is intended to provide several benefits over traditional lawmaking, including more-consistent interpretation, convergence in national supervisory practices, and a general boost in the quality of legislation on financial services. Nevertheless, the Lamfalussy Process has provoked controversy as it allows some element of bypassing accountable oversight by the Council of the European Union and the elected European Parliament, thereby embodying a further move away from representative democracy towards technocracy. The creation of the EU Authorities (ESMA, EIOPA and EBA), which took over from the Advisory Committees on 1 January 2011, has resulted in some changes regarding how the four level legislative procedure operates, with the EU Authorities being given a greater role and more powers.
Views: 177 The Audiopedia
Companies (Prospectus and Allotment of Securities) Second Amendment Rules, 2018
 
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Corporate Governance, Risk Management and Compliance Management by Kekin Patel
Views: 29 Kekin Patel
Listing and delisting of securities and their implications (Law)
 
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Subject : Law Paper: Corporate Law Content writer : Dr. Harpreet Kaur
Views: 9514 Vidya-mitra
A Continued Discussion of Proposed Regulation S-K Amendments
 
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A Continued Discussion of Proposed Regulation S-K Amendments- In this LawCast series I have been going through the rule amendments proposed by the SEC on October 11, 2017 following which I will go through rule amendments proposed earlier on July 13, 2016, which amendments are slated for action this year. Compliance with Section 16(a) (Item 405) - Section 16(a) of the Exchange Act requires officers, directors, and specified types of security holders to report their beneficial ownership of a company’s equity securities using forms prescribed by the SEC, such as an initial Form 3, amendments on Form 4 and annual Form 5. Item 405 requires the company to disclose each person who failed to timely file a Section 16 report during the most recent fiscal year or prior years. Section 16 reporting persons are required to deliver a copy of their reports to the company, though in practice, this is rarely done. The proposed amendments remove this requirement and allow the company to review EDGAR filings for compliance with Section 16(a). In addition, the proposed amendment would eliminate the need to include the heading at all if there are no delinquencies to report, rather than include the heading with a statement such as “none” and remove the checkbox on the cover page of Form 10-K related to the disclosure. The proposed amendment includes several changes to make the instructions and title of this section conform to the SEC’s “plain English” requirements. Corporate Governance (Item 407) - The proposed amendment will update the instructions and information required under Item 407 to remove reference to an obsolete audit standard and rather just refer broadly to applicable PCAOB and SEC requirements. EGC’s and smaller reporting companies are both exempted from the Item 407 requirements, and the proposed amendment clarifies the instruction language accordingly. Outside Front Cover Page of the Prospectus (Item 501(b))- The proposed amendments are designed to streamline the front cover page of a prospectus and give a company flexibility in designing the page to tailor to their business and particular offering. The proposed changes include (i) eliminating instructions related to changing or clarifying a name that may be confused with a well-known company; (ii) allowing for a statement that the offering price will be determined by a particular method or formula that is more fully explained in the prospectus with a cross-reference to the page number; (iii) requiring the disclosure of the principal trading market and company symbol, even if such trading market is not a national exchange; and (iv) streamlining the “subject to completion” legend.
Directors & Expert in Prospectus. Securities Act 2015
 
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Video from Syed ALI Abbas Abidi
Speech by Lounia Czupper
 
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QED Conference on EU Prospectus Regulation – level 2 11 July 2017, Brussels
Views: 116 QEDCommunication
First trade of a crowdfunded security on Euronext
 
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The first secondary transaction in a crowdfunding instrument on a transparent and secure trading platform in Europe took place today on Euronext Expert Market, an electronic trading platform for non-listed securities. The traded instruments are participatory notes in the Belgian company Domobios, issued by the crowdfunding platform MyMicroInvest. This first trade opens new perspectives for crowdfunding investors looking to transfer their participation to a third party in a secure and transparent environment. To celebrate this transaction, Willy Borsus, Belgian Minister for SMEs, responsible for the regulations concerning the financing of companies and crowdfunding, and Philippe De Backer, Member of the European Parliament and Rapporteur for the Prospectus Regulation in the European Parliament, rang the bell.
Views: 110 Euronext TV
Speech by Michael Collins
 
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QED Conference on EU Prospectus Regulation 1 March 2016, Brussels
Views: 43 QEDCommunication
Speech by Carlo Oly
 
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QED Conference on EU Prospectus Regulation – level 2 11 July 2017, Brussels
Views: 34 QEDCommunication
Speech by Piet Hemschoote
 
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QED Conference on EU Prospectus Regulation – level 2 11 July 2017, Brussels
Views: 29 QEDCommunication
Introduction by Dr Hilger von Livonius
 
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QED Conference on EU Prospectus Regulation 1 March 2016, Brussels
Views: 115 QEDCommunication
Form 1-A and Regulation A
 
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LawCast with Attorney Laura Anthony: Form 1-A and Regulation A- Form 1-A consists of three parts: Part I – Notification, Part II – Offering Circular, and Part III – Exhibits. Part I calls for certain basic information about the company and the offering, and is primarily designed to confirm and determine eligibility for the use of a Regulation A offering in general. Part I also includes disclosure related to the application of the bad actor disqualification; jurisdictions in which securities are to be offered; and unregistered securities issued or sold within the prior one year. Part II is the offering circular and is similar to the prospectus in a registration statement. Part II requires disclosure of basic information about the company and the offering; material risks; dilution; plan of distribution; use of proceeds; description of the business operations; description of physical properties; discussion of financial condition and results of operations (MD&A); identification of and disclosure about directors, executives and key employees; executive compensation; beneficial security ownership information; related party transactions; description of offered securities; and two years of financial information. The required information in Part 2 of Form 1-A is scaled down from the requirements in Regulation S-K applicable to Form S-1. However, companies can complete Part 2 by either following the Form 1-A disclosure format or by including the information required by Part I of Form S-1 or Form S-11. Only companies that elect to use the S-1 or S-11 format qualify to file an 8-A to register and become subject to the Exchange Act reporting requirements. Companies that had previously completed a Regulation A offering and filed reports with the SEC under Tier 2 can incorporate by reference from those reports in future Regulation A offering circulars. Form 1-A requires two years of financial information. All financial statements for Regulation A offerings must be prepared in accordance with GAAP. Financial statements for a Tier 1 offering are not required to be audited. Audited financial statements are required for Tier 2 offerings. Audit firms must be independent and PCAOB-qualified. An offering statement cannot be qualified if the date of the balance sheet is more than nine months prior to the date of qualification. A recently created entity may choose to provide a balance sheet as of its inception date as long as that inception date is within nine months before the date of filing or qualification and the date of filing or qualification is not more than three months after the entity reached its first annual balance sheet date. The date of the most recent balance sheet determines which fiscal years, or period since existence for recently created entities, the statements of income, cash flows and changes in stockholders’ equity must cover. When the balance sheet is dated as of inception, the statements of income, cash flows and changes in stockholders’ equity will not be applicable. Part III requires an exhibits index and a description of exhibits required to be filed as part of the offering statement.
Speech by Philippe De Backer
 
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QED Conference on EU Prospectus Regulation 1 March 2016, Brussels
Views: 88 QEDCommunication
Speech by Deirdre Somers
 
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QED Conference on EU Prospectus Regulation 1 March 2016, Brussels
Views: 68 QEDCommunication
Speech by Chris Muyldermans
 
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QED Conference on EU Prospectus Regulation 1 March 2016, Brussels
Views: 38 QEDCommunication
Capital Markets Union (CMU): PD3 Proposal - Impact on Debt Issuers
 
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Simmons & Simmons partner Piers Summerfield talks to colleague Rachel McGivern about the proposed amendments to the Prospectus Regulation focusing on areas significant to Debt Issuers. Podcast episode 514
Speech by Tilman Lueder
 
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QED Conference on EU Prospectus Regulation 1 March 2016, Brussels
Views: 170 QEDCommunication
Important Developments in U.S. and Canadian Securities Regulation
 
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Robert Lando discusses the impact of the new Canadian prospectus marketing rules on U.S. underwriters, changes in the U.S. private placement rules, and new market practices that will evolve throughout 2014.
Offering Statement Requirements For Regulation A+ Offerings
 
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Offering Statement Requirements For Regulation A+ Offerings- Today I am continuing my discussion on offering statement requirements for a Reg A+ offering. The rules require use of new modified Form 1-A. Form 1-A consists of three parts: Part I – Notification, Part II – Offering Circular and Part III – Exhibits. Part I calls for certain basic information about the issuer and the offering, and is primarily designed to confirm and determine eligibility for the use of the Form and a Regulation A offering in general. Part I will include issuer name and identifying information; issuer eligibility; application of the bad actor disqualification and disclosure; jurisdictions in which securities are to be offered; and unregistered securities issued or sold within one year. Part I also includes pricing information. All Regulation A+ offerings must be at a fixed price. That is, no offerings may be made “at the market” or for other than a fixed price. Part II is the offering circular and is similar to the prospectus in a registration statement. Part II requires disclosure of information about the issuer and the offering such as; material risks; dilution; plan of distribution; use of proceeds; description of the business operations; description of physical properties; discussion of financial condition and results of operations (MD&A); identification of and disclosure about directors, executives and key employees; executive compensation; beneficial security ownership information; related party transactions; description of offered securities; and two years of financial information. The required information in Part 2 of Form 1-A is scaled down from the requirements in Regulation S-K applicable to Form S-1. Issuers can complete Part 2 by either following the Form 1-A disclosure format or by including the information required by Part I of Form S-1. Only issuers that elect to use the S-1 format will be able to subsequently file short form 8-A to register and become subject to the Exchange Act reporting requirements. Form 1-A requires two years of financial information. All financial statements for Regulation A offerings must be prepared in accordance with GAAP. Financial statements of a Tier I issuer are not required to be audited however, as noted Tier 1 does not preempt state law and most if not all states require audited financial statements. Audited financial statements are required for Tier 2 issuers. Audit firms for Tier 2 issuers must be independent and PCAOB-registered. Part III requires an exhibits index and a description of exhibits required to be filed as part of the offering statement. Laura Anthony, Esq. Founding Partner Legal & Compliance LLC. 330 Clematis Street, Ste. 217 West Palm Beach, FL 33401 Phone: Toll Free: (800) 341-2684 FREE Local: (561) 514-0936 Email: [email protected] #LawCast
Speech by Ronan Dunne
 
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QED Conference on EU Prospectus Regulation – level 2 11 July 2017, Brussels
Views: 62 QEDCommunication
Red herring Shelf & abridged prospectus explained by Advocate Sanyog Vyas
 
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To Buy video Lectures in Pendrive, DVD, online, Android, Books, Test Series please visit our website https://sanyogvyaslawclasses.com/
Views: 112656 Sanyog Vyas Law Classes
Equity-based Crowdfunding:  Economic and regulatory challenges ahead avec Barbara GABOR
 
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European Commission Objectives - Report on progress - Crowdfunding expert group contributions - EU crowdfunding regulation - Prospectus consultation Barbara GABOR, Policy Officer, European Commission
Speech by Lé Quang Tran Van
 
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QED Conference on EU Prospectus Regulation – level 2 11 July 2017, Brussels
Views: 37 QEDCommunication
Private Placement explained by Advocate Sanyog Vyas
 
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Private Placement explained by Advocate Sanyog Vyas
Petr JEŽEK @ Debates - Wednesday, 14 September 2016 - Prospectus to be published when securities are
 
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happen is through measures which apply Union wide and which encourage market harmonisation and reduce barriers to cross—border investment. I believe that Parliament’s position on the Prospectus Regulation will achieve all of these goals, and we need a strong mandate from this House for the negotiation with the Council and the Commission to achieve a truly European approach. Some of the comments made tonight by the Vice—President of the Commission about Parliament’s approach sound quite promising. This morning we heard from the President of the Commission that he attributes great importance to the progress with CMU and we have now heard the same from the Vice—President. Therefore I hope that tomorrow we will vote strongly in favour of the Prospectus Regulation and deliver some good news –which, I am afraid, was otherwise in short supply in the State of the Union address today. Thank you everybody and goodnight. http://www.europarl.europa.eu/sides/getDoc.do?pubRef=-//EP//TEXT+CRE+20160914+ITEM-020+DOC+XML+V0//EN&language=en&query=INTERV&detail=3-747-000
Section 26 & 27 of the Companies Act, 2013: matters included in prospectus; variation in prospectus
 
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Sec 26: Matters to be included in the prospectus.. Section 27: Variation in the terms of Prospectus..
Views: 1040 Pratik Gosai
What Is A Fund Prospectus?
 
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Mutual fund prospectuses vanguard prospectusesmorgan asset management. Buy online now, prospectus download it request by mail. Blackrock basic value fund strategic growth prospectus hussman fundsprospectus u. Blackrock balanced capital fund, inc. Allow up to 10 days0040, vfinx for information on any j. You can obtain these documents directly from fund companies through mail, email or phone jan 31, 2017 a mutual prospectus is legal document filed with the securities and exchange commission that explains details about its jul 28, 2010 funds must provide copy of fund's to shareholders after they purchase shares, but investors should request pamphlet brochure provides information. It commonly provides investors with material information about mutual funds, a prospectus essential funds. The prospectus should be read before making an initial investment in any fund the section of each entitled overview key facts about [the fund] purchase and. In the case of mutual funds, a fund prospectus contains details on its objectives, investment strategies, risks, performance, distribution policy, fees and expenses, management is document detailing objectives strategies particular or group as well finer points fund's past managers financial information. What is a mutual fund prospectus? The balancemutual prospectus. Googleusercontent search. What is a mutual fund prospectus and how to read it wealth pilgrim. Asp url? Q webcache. Sprospectuses and fund documents putnam investments. Mutual fund companies must give potential investors a here's primer in plain english to help you read and understand what's going on inside your mutual funds before buy them. How to read a mutual fund prospectus (part 1 of 3 investment (finance) wikipedia. Rowe price mutual fund issues a prospectus annually and reports every six months. Morgan fund, click on the appropriate link below to download and view a prospectus, shareholder report or other associated fund jun 13, 2016 sec's office of investor education advocacy is issuing series three bulletins help inform investors about key in finance, disclosure document that describes financial security for potential buyers. Sale of fund shares or overview purchase and this prospectus has information about the that you should know before invest. Fund prospectus investopedia investopedia terms p. Institutional class documents global resources fund and world precious minerals home mutual funds prospectuses call putnam at 1 888 4 (1 478 8626), or click on the prospectus section to view looking for a specific fund? Each t. What to look for in a mutual fund prospectus understanding investing. If you ever wondered what is a investing mutual fund prospectus primer. Mutual fund prospectus what is it? How do you read. You should read it carefully and keep with your investment records jan 30, 2017 the marsico flexible capital fund, jordon laycob, a current in prospectus fund summaries section on page 12 under heading xbrl files emerging europe downlo
Views: 33 Trix Trix
CS Executive | SEBI LODR Regulations - 2015 & Corporate Governance | Part 1
 
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Watch SEBI LODR Regulations, 2015 & Corporate Governance - Part 1 with Sanyog Vyas For more Online Law Lectures do subscribe our channel : https://www.youtube.com/channel/UC344...
Securities & Exchange Board Of India [SEBI ACT 1992] | Prospectus Issue [Section 11(A)] | Part 7 A
 
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Advanced Auditing and Professional Ethics: Chartered Accountancy; Securities & Exchange Board Of India [SEBI ACT 1992] | Prohibition on Issue of Prospectus [Section 11(A)] | Part 7 A; Briefing : 00:02:24 - 00:03:04 Topic Covered: Prohibition on Issue of Prospectus [Section 11(A)] : 00:03:04 - 00:07:17 -What is a Prospectus? - Board may specify: * Matters relating to issue of capital & transfer of securities *Prohibit any company from issuing prospectus or specify conditions *Specify the conditions subject to which the prospectus may be issued Video by Edupedia World (www.edupediaworld.com), Free Online Education; Download our App : https://goo.gl/1b6LBg Click here, https://www.youtube.com/watch?v=ctYzDxjTaJc&list=PLJumA3phskPG8HPVY4PNbHHjBMxGLkWFlfor more videos on Advanced Auditing and Professional Ethics; All Rights Reserved.
Views: 381 Edupedia World
Cryptocurrency Regulations in Singapore
 
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An overview of the regulatory framework concerning cryptocurrency in Singapore. Singapore adopts a progressive approach towards blockchain technology. Video Content: 00:15 Regulatory overview 02:08 Prospectus requirements 02:32 Other regulations 03:10 Regulatory development Learn more: https://crushcrypto.com/cryptocurrency-regulations-in-singapore/ Download the PDF version of the presentation: https://crushcrypto.com/wp-content/uploads/2018/11/Crush-Crypto-Educational-Video-Cryptocurrency-Regulations-in-Singapore.pdf Join the official Crush Crypto Telegram channel for our latest publications and updates: https://t.me/joinchat/AAAAAESrVCwzd19x1DvDOQ Download the free ICO Guide which contains 6 simple steps for analyzing any ICOs to find the winning projects: https://crushcrypto.com/youtube/ Note: This is not a paid video. We do not offer promotional or advertising services. Our content is based on our own research, analysis and personal opinion. _______________________________________ Disclaimer The information in this video is for educational purposes only and is not investment advice. Please do your own research before making any investment decisions. Cryptocurrency investments are volatile and high risk in nature. Don't invest more than what you can afford to lose. Crush Crypto makes no representations, warranties, or assurances as to the accuracy, currency or completeness of the content contained in this video or any sites linked to or from this video.
Views: 493 Crush Crypto
Prospectus contents. Securities Act 2015
 
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Video from Syed ALI Abbas Abidi
Singapore Recognition Foreign Schemes
 
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Singapore has a sophisticated regulatory framework for the offer of local and foreign funds. Separate regimes are available to offer schemes depending on the type of investor: Retail investors – prospectus required; Institutional and accredited investors – exemption from prospectus requirement. Main legislative and regulatory references: Chapter 289 of the Securities and Finance Act provides for the definition of the specific classes of investors – accredited, expert, institutional; cases of offers exempted from requirement to issue a prospectus Sixth Schedule to implementing regulation on the offer of collective investment schemes, lists the features of exempted offers. Process of recognition requires the preparation of offering memorandum. Offering memorandum needs to contain certain disclosures and information as detailed in Sixth Schedule to implementing regulation on the offer of collective investment schemes. EEA UCITS will create an offering memorandum on the basis of the following: existing prospectuses wrapper for Singapore (which is a two-pager document containing disclosures imposed by the applicable regulation) Market commentaries and factsheets The process for recognition is carried out in a digital environment via an online platform system maintained by the Monetary Authority of Singapore. In addition to a soft copy of the offering memorandum, the online application form requires the following information: general details on the fund, its manager and custodian; dynamic data on the assets under management for the specific fund - both at a global level and in Singapore - at certain periods answers to a set of closed-ended questions on the disciplinary and financial record of the manager specification of the types of investors approached and, depending on the investors also provisions of details on the strategies For the purpose of the application, an agent is typically appointed by a director of the responsible person (i.e. the fund or the management company thereof) The agent is in charge of populating the online form with relevant data that the director will validate electronically in order to complete the process. Singapore has a sophisticated legislative and regulatory environment. Traditionally hub for Asian assets and wealth. Increasing number of foreign funds recognised locally. Local banks are the main distribution channels, though these have their own internal asset management arm, increasing competition. Private banks, both global and national, are other avenue for distribution and foreign managers can leverage on existing relationships Limited number of institutional investors Key to success Language skills Deep local network
Form S-1 Filing
 
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Form S-1 Filing- One of the methods of going public is directly through a public offering. In today’s financial environment, many Issuers are choosing to self-underwrite their public offerings, commonly referred to as a Direct Public Offering (DPO). Management of companies considering a going public transaction have a desire to understand the required disclosures and content of a registration statement. This blog provides that information. Pursuant to Section 5 of the Securities Act of 1933, as amended (“Securities Act”), it is unlawful to “offer” or “sell” securities without a valid effective registration statement unless an exemption is available. Companies desiring to offer and sell securities to the public with the intention of creating a public market or going public must file with the SEC and provide prospective investors with a registration statement containing all material information concerning the company and the securities offered. Currently all domestic Issuers must use either form S-1 or S-3. Form S-3 is limited to larger filers with a minimum of $75 million in annual revenues, among other requirements. All other Issuers must use form S-1. The DPO Regulated Time Periods There are generally three regulated time periods in a DPO: (i) the pre-filing period, which begins when the Issuer decides to proceed with an offering. During this period, counsel prepares the registration statement and prospectus. (ii) the waiting or “quiet period,” which is the time from the filing of the registration statement until it is declared effective. During this time the Issuer can engage in limited marketing (offers only) of the offering through the use of the filed registration statement, which must clearly indicate that it is not the final document (often referred to as a “red herring”). (iii) the post-effective period, in which the registration statement is effective and the Issuer can proceed with sales of the securities registered. In addition to disclosure and regulations related to the offering during all three periods, marketing and public communications of the Issuer are restricted. See the section “Restrictions on Communications Related to DPO’s” below. The S-1 In General There are four primary regulations governing the preparation and filing of Form S-1: (i) Regulation C – contains the general requirements for preparing and filing the Form S-1, including within Regulation Care regulations and procedures related to (a) the treatment of confidential information; (b) amending a registration statement prior to effectiveness; (c) procedures to file a post-effective amendment; and (d) the “plain English” rule. (ii) Regulation S-T – requires that all registration statements, exhibits and documents be electronically filed through the SEC’s EDGAR system. (iv) Regulation S-K – sets forth, in detail, all the disclosure requirements for all the sections of the S-1. Regulation S-K is the who, what, where, when and how requirements to complete the S-1. (v) Regulation S-X – sets forth the requirements with respect to the form and content of financial statements to be filed with the SEC. Regulation S-X includes general rules applicable to the preparation of all financial statements and specific rules pertaining to particular industries and types of businesses. Form S-1 Filing. Laura Anthony, Esq. Founding Partner Legal & Compliance LLC. 330 Clematis Street, Ste. 217 West Palm Beach, FL 33401 Phone: Toll Free: (800) 341-2684 FREE Local: (561) 514-0936 Email: [email protected] #LawCast
What is SHELF REGISTRATION? What does SHELF REGISTRATION mean? SHELF REGISTRATION meaning
 
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What is SHELF REGISTRATION? What does SHELF REGISTRATION mean? SHELF REGISTRATION meaning - SHELF REGISTRATION definition - SHELF REGISTRATION explanation. SUBSCRIBE to our Google Earth flights channel - https://www.youtube.com/channel/UC6UuCPh7GrXznZi0Hz2YQnQ Source: Wikipedia.org article, adapted under https://creativecommons.org/licenses/by-sa/3.0/ license. Shelf registration or shelf offering or shelf prospectus is a type of public offering where certain issuers are allowed to offer and sell securities to the public without a separate prospectus for each act of offering and without the issue of further prospectus. Instead, there is a single prospectus for multiple, undefined future offerings. The prospectus (often as part of a registration statement) may be used to offer securities for up to several years after its publication. A shelf registration statement is a filing with the SEC to register a public offering, usually where there is no present intention to immediately sell all the securities being registered. A shelf registration statement permits multiple offerings based on the same registration. Shelf registration is mostly used for sales of new securities by the issuer (primary offerings), although it might possibly be used for resales of outstanding securities (secondary offerings) or a combination of both. For example, a company can file a shelf registration statement with a prospectus for 100,000,000 shares, $1,000,000,000 face value of bonds, $500,000,000 face value of convertible bonds, 50,000,000 Series A warrants, and 50,000,000 Series B warrants. These five different classes or series of securities are offered in a single document. The company may offer to sell all of them, none of them, or any part of some class. It can sell 30,000,000 shares at one time and another 50,000,000 a year later (it will then have 20,000,000 unissued shares covered by the shelf prospectus). Before each offering and sale is actually made, the company must file a relatively short statement regarding material changes in its business and finances since the shelf prospectus was filed. Shelf registration is usually available to companies deemed reliable by the securities regulation authority in the relevant country. Because of their purposefully time-constrained nature, shelf offerings are examined far less rigorously by those authorities than standard public offerings. Shelf registration is a process authorized by the U.S. Securities and Exchange Commission under Rule 415 that allows a single registration document to be filed by a company that permits the issuance of multiple securities. Form S-3 issuers may use shelf registration to register securities that will be offered on an immediate, continuous or delayed basis. In July 2005 the SEC put "automatic registration" shelf filings in place. This filing is a relaxed registration process that applies to well-known, seasoned issuers (WKSI, pronounced "wiksy"), and covers debt securities, common stock, preferred stock and warrants, among other various instruments. A WKSI is a company that has filed all annual, quarterly and current reports in a timely manner, and either has a greater than $700 million market capitalization or has issued $1 billion in registered debt offerings over the past three years. Shelf registration is a registration of a new issue that can be prepared up to three years in advance, so that the issue can be offered quickly as soon as funds are needed or market conditions are favorable. For example, current market conditions in the housing market are not favorable for a specific firm to issue a public offering. In this case, it may not be a good time for a firm in the sector (e.g. a home builder) to come out with its second offering because many investors will be pessimistic about companies working in that sector. By using shelf registration, the firm can fulfill all registration-related procedures beforehand and go to market quickly when conditions become more favorable. Finally, firms often use universal shelf filings and choose between debt and equity offerings based on the prevailing relative market conditions.
Views: 174 The Audiopedia
New OSC Prospectus Exemption - InvestmentPitch Media
 
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Ontario Securities Commission announced that it will be adopting a new “family, friends, and business associates” prospectus exemption, effective May 5 2015. This new provision will allow issuers to sell securities to its principals, certain family members, and close personal friends, and business associates without a prospectus.
Markets in Financial Instruments Directive
 
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The Markets in Financial Instruments Directive 2004/39/EC (known as "MiFID") as subsequently amended is a European Union law that provides harmonised regulation for investment services across the 31 member states of the European Economic Area (the 28 Member States of the European Union plus Iceland, Norway and Liechtenstein). The main objectives of the Directive are to increase competition and consumer protection in investment services. As of the effective date, 1 November 2007, it replaced the Investment Services Directive. MiFID is the cornerstone of the European Commission's Financial Services Action Plan whose 42 measures will significantly change how EU financial service markets operate. MiFID is the most significant piece of legislation introduced under the 'Lamfalussy' procedure designed to accelerate the adopting of legislation based on a four-level approach recommended by the Committee of Wise Men chaired by Baron Alexandre Lamfalussy. There are three other 'Lamfalussy Directives' — the Prospectus Directive, the Market Abuse Directive and the Transparency Directive. This video is targeted to blind users. Attribution: Article text available under CC-BY-SA Creative Commons image source in video
Views: 2043 Audiopedia
First trade of a crowdfunded security on Euronext (Speech)
 
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The first secondary transaction in a crowdfunding instrument on a transparent and secure trading platform in Europe took place today on Euronext Expert Market, an electronic trading platform for non-listed securities. The traded instruments are participatory notes in the Belgian company Domobios, issued by the crowdfunding platform MyMicroInvest. This first trade opens new perspectives for crowdfunding investors looking to transfer their participation to a third party in a secure and transparent environment. To celebrate this transaction, Willy Borsus, Belgian Minister for SMEs, responsible for the regulations concerning the financing of companies and crowdfunding, and Philippe De Backer, Member of the European Parliament and Rapporteur for the Prospectus Regulation in the European Parliament, rang the bell.
Views: 51 Euronext TV

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