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Principles of Corporate Finance Law$
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Eilis Ferran and Look Chan Ho

Print publication date: 2014

Print ISBN-13: 9780199671342

Published to Oxford Scholarship Online: April 2014

DOI: 10.1093/acprof:oso/9780199671342.001.0001

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Public Offers and Listings of Equity Securities

Public Offers and Listings of Equity Securities

(p.351) 13 Public Offers and Listings of Equity Securities
Principles of Corporate Finance Law

Eilís Ferran

Look Chan Ho

Oxford University Press

This chapter focuses on the process whereby a company raises finance by offering its equity securities to investors in the market. Topics discussed include reasons for going public; where shares can be listed; EU capital market regulation; giving effect to EU law in the UK; standards for admission to trading on the Alternative Investment Market (AIM); forms of public offer of shares; determining the issue price; the principle of mandatory prospectus disclosure; the operation of the mandatory prospectus disclosure regime; enforcement of securities laws regulating public issues and admission to trading; civil liability in the UK for defective prospectuses; civil liability for false prospectuses; public offers of securities by private companies; periodic and episodic disclosure obligations of listed and quoted companies; issuer disclosure obligations derived from the transparency obligations directive; and annual corporate governance disclosures by issuers admitted to trading on a regulated market; and civil liability for periodic and episodic disclosures.

Keywords:   company law, capital markets, going public, initial public offerings, EU law, prospectus disclosure, securities law, listed companies, disclosure

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