Topic
IPO
617 published works
China Law Insight
境外上市备案新规落地——境外上市企业的上市地选择
By King & Wood
作者：胡静 陈奕辰 2023年2月17日，《境内企业境外发行证券和上市管理试行办法》（“《管理试行办法》”）及其配套指引（即1号指引至5号指引[1]，具体定义见脚注，合称“《监管规则适用指引》”，与《管理试行办法》合称“备案新规”或“新规”）终于在市场各界的紧密关注下铿锵落地，备案新规将于2023年3月31日起正式生效。 备案新规就以往分散于不同单行法规中的境外上市方式做出了统一监管规定，进一步确定了备案新规将统一适用于全部境内企业直接或者间接到不同境外地区发行证券或者将其证券在境外上市交易的经济行为。同时，配套指引中针对不同发行/上市的具体申报要求和规则做出了详细规定。由此，备案新规落地后，企业可根据自身所处行业领域、上市架构、数据合规等考虑因素进行梳理分析，选择合适的发行方式及上市地。 阅读更多
Free Writings + Perspectives
Going Public in the 2020s
By Anna T. Pinedo, Hanson Hairihan
Speaking at a conference at Columbia University as part of the Columbia Law and Business Schools’ Program in the Law and Economics of Capital Markets, Securities and Exchange Commission Commissioner…
The CLS Blue Sky Blog
SEC Commissioner Speaks at Columbia’s Going Public in the 2020s Conference
Good morning and thank you, [Columbia Law School] Dean [Gillian] Lester, for the introduction. I am honored to speak to this distinguished group of academics, practitioners, and regulators at today’s…
The D&O Diary
Guest Post: Securities Class Actions May Spur IPO Investigations in 2023
Nessim Mezrahi Stephen Sigrist In the following guest post, Nessim Mezrahi and Stephen Sigrist take a look at a variety of economic and marketplace factors that they suggest may lead…
The CLS Blue Sky Blog
Olshan Discusses FINRA, Stock Exchange Crack Down on Small-Cap IPO “Ramp and Dump” Schemes
On November 17, 2022, the Financial Industry Regulatory Authority (“FINRA”) issued a special alert to FINRA members concerning the heightened threat of fraud in small capitalization initial public offerings (“IPOs”).…
Corporate & Securities Law Blog
Nasdaq, FINRA and NYSE Issue Warnings of Small-Cap IPO Fraud
Yesterday, each of Nasdaq, FINRA and NYSE released Regulatory Alerts highlighting concerns surrounding fraudulent activities in Small-Cap IPOs. Each of these alerts raises similar issues, highlights the importance of the…
Free Writings + Perspectives
SEC Small Business Capital Formation Advisory Committee Examines the Public Market
By Carlos E. Juarez, Hanson Hairihan
The Securities and Exchange Commission’s Small Business Capital Formation Advisory Committee held a panel discussion on recent trends in taking a company public during its October 13, 2022 meeting. The…
Trading Secrets
Seyfarth Attorneys to Attend and Speak at IPO Annual Meeting
By Robert B. Milligan, Eric Barton, Dawn Mertineit
On September 18-20, Seyfarth partners Dawn Mertineit, Eric Barton, and Robert Milligan will be attending the Intellectual Property Owners Association’s Annual Meeting in Los Angeles. This event offers over two…
China Law Insight
美港之外新选择——中国企业新加坡上市之路
By King & Wood
作者：孙昊天 李楠 郑兆江 肖斌 2022年5月20日，蔚来正式以“NIO”为股票代码在新加坡交易所（下称“新交所”）主板上市，成为首家在美国、中国香港和新加坡三地上市的智能电动汽车企业。新交所在中国的业务既有高光，也有低谷。近年来新交所不断通过制度革新吸引中国企业，此次蔚来上市也将新加坡这一亚洲金融中心再次带入大众视野。 阅读更多
The D&O Diary
Mental Health Services Company Hit with Post-IPO COVID-Related Securities Suit
The changes and disruptions caused by the COVID-19 pandemic continue to roil companies’ business operations and financial results. The pandemic’s effects, and the ensuing shifts in business operations and strategic…