Tapping public markets brings increasingly complex regulatory, reporting and compliance demands for companies needing a broader pool of capital. Meeting the challenge, Syndicate Legal Advisory Services assists a broad range of clients, including large-listed companies, newly public companies and businesses preparing to float, to manage their securities' regulatory and corporate governance obligations, respond to emerging trends and adopt best practice as a public company.  

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Our work includes (but is not limited to):  

• Responding to regulator comment letters on securities offering documents, registration statements and annual reports;

• Commenting on proposed rules of relevant securities regulators;

• Participating in working groups regarding regulatory reform initiatives;

• Advising on corporate governance compliance matters (including in the US under the Sarbanes-Oxley Act);

• Negotiating and drafting for approval requests for securities regulatory derogations and no action relief; and

• Drafting confidential treatment requests and dealing with related matters.  

 

Given Syndicate Legal AdvisoryServices' deep resources and key partnerships in finance hubs in the United States, Europe, Middle East, Asia Pacific, including Australia, we have a particular record in providing issuers with coordinated cross-border support on the rules & laws of different jurisdictions. 

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Notes:

• Available with all Syndicate Legal Advisory Services' - Business Subscription Plans (not a standalone service)

• Syndicate Legal Advisory Services' - compensation for capital markets advisory services:

  • Syndicate Legal Advisory Services receives securities equal to three percent (3%) of each class or type of securities sold or otherwise issued by the client company in any private or public offering, financing, or capital raise.​

  • Does not include any compensation that will be paid to any FINRA Registered Broker Dealers, Registered Investment Advisors and/or Market Makers.

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