Topic
IPO
617 published works
The Securities Edge
Testing-the-waters provisions to be available to bigger fish
On February 19, 2019, the Securities and Exchange Commission voted to propose a new rule that would expand the availability of the “testing-the-waters” provisions that enable eligible companies to engage…
China Law Insight
金杜助力开元酒店香港主板上市
By King & Wood
2019年3月11日，浙江开元酒店管理股份有限公司（简称“开元酒店”）首次公开发行股票并在香港联交所主板成功上市（股票代码：1158.HK）。开元酒店本次全球发售的股份总数为70,000,000股（超额配售行使前），最终发售价定为每股发售股份16.50港元。
The D&O Diary
A Closer Look at 2018 IPOs
For everyone involved in the public company D&O arena, IPOs are a continuing source of interest and concern. An important part of thinking about IPO companies and their D&O risk…
Global Regulation Tomorrow
The FCA fines an individual for failing to observe proper standards of market conduct and on similar facts issues its first formal decision under its competition powers against three asset management firms
By David Harris (UK), Rachel McDonnell (UK)
On 21 February 2019, the FCA fined two asset management firms for breach of competition law. No fine was imposed on the other asset management firm, Newton Investment Management Limited…
The CLS Blue Sky Blog
Top Executives’ Compensation and Firm Survival
Executive compensation elicits strong opinions from shareholders, practitioners, and the public alike. Ideally, compensation packages should be designed to attract, retain, and motivate executives to perform in accordance with the…
Free Writings + Perspectives
The Unicorn IPO Report
Last week, Intelligize published The Unicorn IPO Report, which analyzes IPOs from 2016 through 2018. In 2016, the report notes that the AppDynamics IPO was days away from completion prior…
Dialogue
Remaking News of the Week: Axiom’s IPO
Remaking News of the Week features Axiom’s intention to float in the US which was first reported on February 19, 2019. Founded by Mark Harris in NYC in 2000, Axiom pioneered…
IPO, Then What?
Possible expansion of “Testing the Waters” for Securities Offerings
In apparent recognition of the popularity of “testing the waters” by Emerging Growth Companies (EGCs) before proceeding with an IPO, the Securities and Exchange Commission recently voted to propose an…
ComplexDiscovery
Axiom Announces Application for IPO and Spin-Off of Two Businesses
By Rob Robinson
Axiom Announces Confidential Submission of Draft Registration Statement for Proposed Initial Public Offering Press Announcement Axiom Global Inc. today [February 19, 2019] announced it has confidentially submitted a draft registration…
Capital Markets
Nasdaq FAQs on SEC Shutdown and IPOs
On January 24, 2019, Nasdaq issued FAQs addressing, among other things, new listings during the government shutdown. Nasdaq noted that under the SEC’s December 2018 Operations Plan Under A Lapse…