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Initial Public Offering (IPO) Financial Analysts

Hogan Lovells

Inviting unconnected analysts to take part in the IPO process - new guidance published

Hogan Lovells on

New guidance on how unconnected analysts can participate in the UK IPO process and access information from prospective issuers (Guidance) has been published by the Association for Financial Markets in Europe (AFME) and the...more

Morgan Lewis

FINRA Publishes Guidance on Research Conflict of Interest Rules

Morgan Lewis on

FINRA explains the risk levels associated with communications regarding potential investment banking transactions: from low to high to “unmanageable.” On May 27, the Financial Industry Regulatory Authority (FINRA)...more

Morrison & Foerster LLP - JOBS Act

FINRA Research Rule Guidance: The New Stages of Grief

Many market participants were left in a quandary following FINRA enforcement actions in connection with member firm research analyst “participation” in meetings with prospective issuers. Recently, FINRA published a handful...more

Cooley LLP

Blog: FINRA Issues Seven New FAQs Regarding Research Conflict-Of-Interest Rules

Cooley LLP on

Last week, FINRA released seven new FAQs related to the research conflict of interest rules. In essence, FINRA analyzes the types of facts and circumstances that might be decisive in determining whether certain conduct or...more

Cadwalader, Wickersham & Taft LLP

A Materially Different View On Pre-deal Research Reports In Hong Kong IPOs

As financial markets globalize, particular markets have increasing opportunities to shape themselves by adopting processes, concepts and regulatory frameworks borrowed from other markets. Given their highly-developed nature,...more

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