№ lp_1_27946
File format: docx
Character count: 14033
File size: 35 KB
Year:
N/A
Region / City:
Hong Kong
Theme:
Capital Market Regulations
Document Type:
Template / Disclaimer
Organization / Institution:
ASIFMA
Author:
ASIFMA
Target Audience:
Capital market intermediaries, prospective investors, securities professionals
Effective Period:
N/A
Approval Date:
N/A
Amendment Date:
N/A
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Organization:
Asia Securities Industry & Financial Markets Association (ASIFMA)
Type of document:
Guidance / Industry publication
Jurisdiction:
Hong Kong
Topic:
Capital market regulations, IPO underwriting
Date of last update:
6 December 2022
Related authorities:
Securities and Futures Commission (SFC), Hong Kong Stock Exchange
Target audience:
Capital market intermediaries, overall coordinators, sponsors
Legal context:
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission, Listing Rules amendments
Year:
2018
Region / City:
Croatia
Theme:
Venture Capital
Document Type:
Call for Expression of Interest
Organization:
Ministry of Regional Development and EU Funds of the Republic of Croatia
Author:
European Investment Fund (EIF)
Target Audience:
Financial Intermediaries
Period of validity:
Until 13th August, 2018
Approval Date:
7th June, 2018
Date of Changes:
12th June, 2018
Year:
2018
Region / City:
European Union
Topic:
Insurance distribution
Document type:
Application Form
Organization:
Central Bank of Ireland
Author:
Central Bank of Ireland
Target audience:
Firms wishing to appoint tied insurance intermediaries
Validity period:
Not specified
Approval date:
Not specified
Date of changes:
Not specified
Note:
Year
Year:
2022
Region / City:
Hong Kong
Topic:
Legal and Regulatory Requirements, IPO Engagement
Document Type:
Template
Organization / Institution:
ASIFMA
Author:
ASIFMA
Target Audience:
Market participants, financial institutions, legal and regulatory professionals
Period of validity:
Indefinite
Date of Approval:
N/A
Date of Changes:
N/A
Year:
2022
Region / city:
South Africa
Theme:
Credit Lines for Non-Bank Intermediaries
Document Type:
Terms of Reference
Organization:
Industrial Development Corporation (IDC)
Author:
IDC
Target Audience:
Non-Bank Intermediaries, Small and Medium Enterprises (SMEs)
Period of validity:
1 December 2022 - 20 December 2022
Approval Date:
Not specified
Amendment Date:
Not specified
Organization:
Asia Securities Industry & Financial Markets Association (ASIFMA)
Document Type:
Disclaimer and suggested legend/disclaimer text
Jurisdiction:
Hong Kong
Regulatory Framework:
Code of Conduct for Persons Licensed by or Registered with the Securities and Futures Commission
Related Authority:
Securities and Futures Commission
Related Exchange:
The Stock Exchange of Hong Kong
Subject:
Capital market intermediaries’ communications in securities offerings
Securities Covered:
Equity-linked convertible bonds and exchangeable bonds
Intended Users:
Capital market intermediaries and industry participants
Legal Status:
Non-binding template provided as guidance
Copyright Status:
Not owned, copyrighted or protected by ASIFMA
Year:
2023
Region / city:
N/A
Document type:
Form
Organization / institution:
Securities and Exchange Board of India (SEBI)
Author:
N/A
Target audience:
Investors, Registered Transfer Agents (RTAs), and holders of listed company securities
Validity period:
N/A
Approval date:
March 16, 2023
Amendment date:
N/A
Year:
N/A
Region / city:
Netherlands
Topic:
Financial regulations, alternative investment funds
Document type:
Notification form
Organization / institution:
Netherlands Authority for Financial Markets (AFM)
Author:
N/A
Target audience:
European (non-Dutch) authorized managers (AIFMs)
Effective period:
N/A
Approval date:
N/A
Amendment date:
N/A
Year:
20[]
Region / City:
Delaware
Theme:
Corporate governance, investment agreements
Document Type:
Legal agreement
Organization / Institution:
[__________]
Author:
Not specified
Target Audience:
Investors, Company stakeholders
Effective Period:
Not specified
Approval Date:
Not specified
Date of Amendments:
Not specified
Document type:
Investors’ rights agreement
Jurisdiction:
United States
Governing law:
Delaware
Parties:
Company and investors
Subject matter:
Registration rights, information rights, rights of first offer, and related covenants
Corporate form:
Delaware corporation
Securities involved:
Common Stock and Preferred Stock
Related agreements:
Preferred Stock Purchase Agreement
Status:
Amended and restated agreement
Structure:
Contract with schedules and exhibits
Legal area:
Corporate law and securities law
Year:
2023
Region / City:
Global
Theme:
ESG (Environmental, Social, Governance) in Equity Investments
Document Type:
Guide
Organization:
BII
Author:
BII ESG-I and Legal Teams
Target Audience:
Lawyers acting for funds or fund managers
Effective Period:
Not specified
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2020
Region / City:
Bailiwick of Guernsey
Subject:
Investment Funds, Regulatory Compliance
Document Type:
Application Form
Institution:
Guernsey Financial Services Commission
Author:
Guernsey Financial Services Commission
Target Audience:
Professional Investors, Investment Fund Managers
Period of Validity:
Not specified
Approval Date:
Not specified
Date of Changes:
Not specified
Year:
2017
Region / City:
Belgium
Subject:
Marketing of AIFs
Document Type:
Official Communication
Issuing Body:
FSMA
Target Audience:
Professional investors, AIFMs
Period of Validity:
Not specified
Approval Date:
24/02/2017
Amendment Date:
Not specified
Context:
A communication outlining the procedure for notifying the FSMA about marketing non-EEA AIFs in Belgium.
Year:
2011-2012
Author:
J Scott
Organization:
Lish Properties, LLC
Target Audience:
Real estate investors
Document Type:
Guide
Topic:
Real estate valuation
Region/City:
Not specified
Period of validity:
Not specified
Approval Date:
Not specified
Modification Date:
Not specified
Year:
2023
Region / City:
Utrecht
Topic:
Plastic packaging, regulation, sustainability, EU legislation
Document Type:
Letter
Organization:
VBDO
Author:
Elin Noring, Andreas von Angerer, Angélique Laskewitz, and others
Target Audience:
EU lawmakers, MEPs, business stakeholders, investors
Period of validity:
Not specified
Date of approval:
Not specified
Date of changes:
Not specified
Year:
2021
Region / City:
Los Angeles
Subject:
Securities Litigation
Document Type:
Press Release
Organization:
The Schall Law Firm
Author:
Brian Schall
Target Audience:
Investors in Sleep Number Corporation
Period of Action:
February 18, 2021 - July 20, 2021
Approval Date:
December 24, 2021
Date of Amendments:
N/A
Year:
2023
Region / City:
Canberra
Topic:
Clean Energy, Renewable Energy, Government Budget
Document Type:
Press Release
Author:
Simon Corbell, CEO & Chairperson, Clean Energy Investor Group
Target Audience:
Investors, Policy Makers, Energy Sector Stakeholders
Period of Action:
2023–2030
Approval Date:
10 May 2023
Date of Changes:
N/A
Year:
Not specified
Region / City:
Not specified
Topic:
Amendments and waivers of Note Purchase Agreements
Document Type:
Best practices recommendation
Organization / Institution:
Private Placement Investors Association (PPIA)
Author:
Private Placement Investors Association (PPIA)
Target Audience:
Investors, issuers, investment bankers
Effective Period:
Not specified
Approval Date:
Not specified
Amendment Date:
Not specified
Year:
2022
Region / City:
Los Angeles
Topic:
Securities class action lawsuit
Document Type:
Legal notice
Organization / Institution:
The Schall Law Firm
Author:
The Schall Law Firm
Target Audience:
Investors in Astra Space, Inc.
Period of Action:
February 2, 2021 - December 29, 2021
Date of Approval:
February 16, 2022
Date of Changes:
Not specified