The European Securities and Markets Authority (ESMA), in its annual report on prospectus activity, has found that the number of prospectus approvals across the European Economic Area (EEA) fell by around 8.5% from 2015 to 2016, continuing the overall decreasing trend seen since the start of the financial crisis. From the prospectuses approved, 40% were …
ESMA sees continued decline in number of prospectus approvals Read More »
The Canadian Securities Administrators (CSA) today released CSA Staff Notice 51-348 Staff’s Review of Social Media Used by Reporting Issuers, which summarizes staff’s findings and disclosure expectations for reporting issuers that use social media. Staff reviewed the social media disclosure of 111 reporting issuers to determine if they were consistent with the principles of National Policy …
Canadian regulator highlights need for improved Social Media disclosure practice Read More »
The FCA today published Policy Development Update – Issue 33. These updates provide information on publications issued since the last edition, information about recent Handbook-related and other developments, other publications such as consumer publications, guidance consultations and finalised guidance, and an updated timetable for forthcoming publications. This month the Policy Development Update includes an updated timetable for …
What’s the news? The FCA has published a consultation paper on the availability of information in the UK Equity IPO process (DP 16/3). What is it about? An Initial Public Offering (IPO) occurs when shares in a private company are sold to the public. The details of the proposed offering are disclosed to potential purchasers …
In a nutshell – The FCA and information in the IPO process Read More »
The FCA has published today a consultation paper on the availability of information in the UK Equity IPO process (DP 16/3). As part of the FCA’s market study into investment and corporate banking the regulator examined the availability of information during the UK IPO process. The evidence showed that, in the typical UK IPO process, the blackout …
FCA consults on availability of information in the IPO process Read More »
The FCA today published its Occasional Paper No. 15: “Quid pro quo? What factors influence IPO allocations to investors?”. In this paper the regulators seeks to understand if the IPO allocation process works in the interest of issuer clients or whether conflicts of interest mayresult in banks favouring their highest-revenue clients when deciding on final allocations …
FCA briefs on factors influencing IPO allocations to investors Read More »
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