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Capital Markets Transaction Management

This pathway will cover key topics in public capital raisings; prospectuses, listing, comfort letters & due diligence.

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4 videos • 40 minutes

  • The Prospectus (1/2)

    In this video, Kate discusses what a Prospectus is, and why the contents may vary. She also gives a brief  introduction to the Prospectus Regulation and summarises the key disclosure requirements, highlighting the different standards for retail and for wholesale bond offerings. 

    Kate Craven08:19

  • The Prospectus (2/2)

    In the last video on this two part video series Kate covered the contents of a Prospectus and why it might vary. In this video she will cover whether a Prospectus is always required, why investors might prefer a listing and the different types of listing. She will also take us through the responsibilities of issuers and underwriters with respect to the Prospectus and how the risks can be mitigated - as well as commenting upon the impact of Brexit.

    Kate Craven12:46

  • Comfort Letters (1/2)

    In a capital markets transaction, underwriters will seek to protect themselves against any potential liability caused by misinformation from the issuer. One way they can do this is by requesting a comfort letter from the issuer's auditors. In this two-part video series, Kate discusses why issuers and underwriters use comfort letters and the different market practices between European and American issuers.

    Kate Craven11:41

  • Comfort Letters (2/2)

    In the second part of this two-part video series, Kate continues the discussion around comfort letters. Kate begins by talking about engagement letters, another way underwriters can potentially protect themselves against liability. Then she discusses certain issues with comfort letters, such as what happens when there is no comfort letter provided, and key things to watch out for when requesting a comfort letter.

    Kate Craven07:49

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