Introduction to the Prospectus in a Securities Offering

Introduction to the Prospectus in a Securities Offering

Kate Craven

35 years: Capital markets

In this video, Kate discusses what a Prospectus is, and why the contents may vary. She also gives a brief  introduction to the Prospectus Regulation and summarises the key disclosure requirements, highlighting the different standards for retail and for wholesale bond offerings. 

In this video, Kate discusses what a Prospectus is, and why the contents may vary. She also gives a brief  introduction to the Prospectus Regulation and summarises the key disclosure requirements, highlighting the different standards for retail and for wholesale bond offerings. 

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Introduction to the Prospectus in a Securities Offering

8 mins 19 secs

Overview

The offering prospectus is a key document in the securities offering process. It is critical to have a thorough grasp of the issuer's needs, the structure of the transaction, and the investors to be targeted in order to accurately draft the Prospectus.

Key learning objectives:

  • What is a prospectus?

  • Understand an overview of Prospectus Regulation

  • What should appear in a bond prospectus?

  • What does the Prospectus Regulation say about the contents of the prospectus?

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Summary
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Expert
Kate Craven

Kate Craven

Kate is a senior member of ICMA and consults on various projects including the recent update of the Primary Market Handbook. Kate previously served as Director at Barclays Plc in the Legal Department. She was responsible for the team specialising in debt capital markets. Prior to joining Barclays, she served as Director at Merrill Lynch. Kate had started in the Transaction Management Group at Merrill Lynch International in 1993 before spending two years in Tokyo with Merrill Lynch Japan Securities. She later headed the team responsible for the documentation of syndicated Eurobonds and EMTN programmes. Kate became chair of the Legal & Documentation Committee of the ICMA in 2001 and was listed as one of the 8 top in-house lawyers in the 2001 edition of Chambers and Partners Index to Leading Lawyers.

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