Capital Markets Transaction Management

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

Pathway

Banking

Foundational

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8 videos • 1 hour 16 minutes

  • Introduction to the Prospectus in a Securities Offering

    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

  • Further Considerations in Preparing a Prospectus

    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

  • What is a Comfort Letter?

    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

  • Negotiating the right Comfort Letter

    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

  • What is Due Diligence?

    In this video, Kate covers what due diligence is and why it matters. She also explained that there is no fixed standard for due diligence and that it can and should vary depending on a number of factors.

    Kate Craven09:23

  • Due Diligence Execution

    In this video, Kate sets out the key elements of the due diligence investigation as well as the timing and extent of due diligence for different markets and different products. She further provides some insight into who is responsible for performing due diligence within banks. 

    Kate Craven11:49

  • Introduction to Listing a Security

    In this video, Kate introduces the topic of listing. She highlights who sets the rules and the relevant regulations that the rules are contained in and also explains what the impact of Brexit will be on the UK listing procedure. Finally, she discusses why issuers would list securities.

    Kate Craven07:20

  • Further Listing Considerations

    In the first video of this two-part video series, Kate outlined what a listing is and why a listing matters. In this video, she looks further into the topic by first discussing the assessment issuers should make when deciding which stock exchange to pick. She then explains the requirements for listings and finishes up with a further discussion on the changes emerging due to Brexit.

    Kate Craven06:59

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