Financial and capital market regulation

Financial and capital market regulation

Management companies, investment service providers, financial investment advisors, family offices, credit institutions: we assist our clients in compliance with the regulations in force in the case of the management of financial instruments and all other securities and more generally in all areas of securities and capital markets.

 

In both transactional and litigation practice, we especially work for issuers (governments, private companies, investment banks, etc.) in sectors ranging from real estate to spirits and aeronautics, on many issues:

  • Initial public offering, drafting of the prospectus, preparation of the entire paperwork to be filed with the market authorities (French financial markets regulator AMF and Euronext).
  • Public offering or private placement of equity or debt securities.
  • Acquisition of a minority stake in a listed company.
  • Acquisition of a block trade, price guarantee or takeover bid, offer to purchase, mandatory squeeze-out.
  • Corporate governance.
  • Public to Private operation.
  • Relations with competition, insurance or stock exchange regulatory authorities.
  • Assistance to our clients with issues related to concerted actions, threshold crossing, self-monitoring, share repurchase program, drafting insiders’ lists, share price management and liquidity contract.

 

We also assist our clients in pre-litigation and litigation:

  • Representation before the AMF or criminal jurisdictions in criminal stock exchange matters: breaches of securities regulations, including insider trading, price manipulation, etc.
  • Market abuse and, more generally, compliance with financial regulations;
  • In contact with the regulatory authorities in the context of control or investigation procedures (AMF Sanctions Commission, French Prudential Supervision and Resolution Authority ACPR Sanctions Commission);
  • In relation to unitholders within the framework of the regulations applicable to an issuer or a UCITS.

 

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