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Firm Event | February.08.2018 | 8:30am - 10:00am (GMT Standard Time)Orrick London
On 1 July 2018, the new Conduct of Business Sourcebook (COBS) Rules, forming part of the FCA Handbook, will come into force. These rules provide that before any connected research is published in relation to an IPO on a regulated market:
In addition, new guidance clarifies the FCA’s expectations in relation to connected analysts’ participation in pitches for potential IPOs. Please join Orrick’s team of financial regulatory and UK and US capital markets lawyers at our breakfast briefing, when we will discuss the likely implications of these amendments to the timetable for IPOs, the structure of prospectuses and registration documents, potential regulatory arbitrage between markets, management’s interaction with analysts, and the manner in which corporate finance providers pitch for business.
Please RSVP by Thursday, 25th January 2018.
CLE Credits Available: N
Katie advises on a broad spectrum of corporate transactions, including primary and secondary fundraisings on the public markets, public and private M&A, joint ventures and strategic investments.
Katie has particular experience in the technology, media, energy and biotech/cleantech sectors, as well as in transactions with a substantial real estate component.
Recent transactions include advising Cerillion PLC on its initial public offering on AIM; advising Canal+ Group on the sale of their majority stake in Poland’s largest broadcaster TVN Group to Scripps Networks; and advising Infracapital on its investment in Bioenergy Infrastructure Limited (BIG) and BIG's subsequent investment in the first waste-to-energy plant to utilise the U.K. Government's contracts for difference regime.
Nell Scott regularly advises on international capital markets, corporate finance, M&A and private equity transactions, as well as corporate governance and disclosure issues, with an emphasis on Africa, Russia and other emerging markets.
Nell’s clients have included major investment banks and financial institutions, public and private companies and sovereign governments. Nell lived and worked in Russia from 1993 to 1997 and is a fluent Russian speaker.
Jacqui heads up the financial services regulatory team in London and is co-chair of Orrick's global Blockchain and Cryptocurrency group. She has more than 20 years' experience in providing international regulatory advice across the broad spectrum of the financial services regulated community.
Jacqui's clients include asset managers, brokers, banks, fund managers, fund platforms, payment service providers, e-money issuers, Fintech companies, exchanges and corporate finance boutiques.
She provides regulatory advice to both the buy side and sell side and covers both retail and wholesale business. Typical work includes advising on issues relating to authorization, structuring, outsourcing, systems and controls, conduct of business, financial resources, market abuse, EU directives, promotion and distribution of investments, money laundering, payment services and consumer credit. Typical work also includes providing specialist regulatory advice on transactions within the financial services sector.
Jacqui is particularly active in the Fintech space, with clients including peer to peer lending platforms, challenger banks, app payment providers, investment and property crowd funding platforms, robo advisers and wealth management platforms, alternative investment fund managers and on-line broker dealers. Jacqui also has significant experience advising on blockchain, digital currencies and ICOs. The 2017 UK Legal 500 states that “although she is active across the spectrum of financial services regulatory issues including on behalf of banks, brokers and fund managers, Jacqui is particularly noted for her Fintech expertise.”