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How can you ensure transparency in securities issuance?

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Securities issuance is the process of creating and selling new financial instruments, such as stocks, bonds, or derivatives, to investors. It is a vital function of investment banking, as it helps companies raise capital, diversify their funding sources, and access new markets. However, securities issuance also involves significant risks and responsibilities, especially regarding the disclosure of accurate and relevant information to the potential buyers. How can you ensure transparency in securities issuance and avoid legal, reputational, or financial consequences? Here are some key steps to follow.

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FA David Kanyi, HSC

Lead Financial Sector Digitization - Safaricom PLC
Matheus de Souza Barboza

E-commerce | Marketplaces | Finan?as | Estratégia | Consultor | Conselheiro | C-level | Valuation

1 Understand the regulations

Depending on the type, size, and location of the securities issuance, you may have to comply with different rules and standards set by regulators, such as the Securities and Exchange Commission (SEC) in the US, or the European Securities and Markets Authority (ESMA) in the EU. These regulations may require you to register your securities, provide a prospectus or an offering memorandum, disclose material information, and adhere to certain accounting and auditing practices. You should consult with your legal and compliance teams to understand the specific requirements and obligations for your securities issuance.

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FA David Kanyi, HSC

Lead Financial Sector Digitization - Safaricom PLC
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Understanding the legal framework is important and critical to ensuring as you build your framework, domesticating and incorporating local situations is apparent. Markets are at different stages of development. Clear understanding of your justification is critical as you build on pillar and principles that support a strong legal framework regime.

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Matheus de Souza Barboza

E-commerce | Marketplaces | Finan?as | Estratégia | Consultor | Conselheiro | C-level | Valuation
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Comunica??o Clara e Abrangente ?? Prospecto Detalhado: Elaborar um prospecto completo e claro que descreva todos os detalhes relevantes da emiss?o, incluindo uso dos recursos, riscos, objetivos e políticas da empresa. ?? Divulga??o de Informa??es: Garantir a divulga??o oportuna e precisa de informa??es relevantes aos investidores, como resultados financeiros, eventos significativos e mudan?as na estrutura da empresa. ?? Comunicados Públicos: Emitir comunicados de imprensa e publica??es em órg?os de comunica??o para manter o mercado informado sobre a emiss?o e seus desdobramentos.

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2 Engage with stakeholders

Transparency in securities issuance is not only a legal duty, but also a strategic advantage. By engaging with your stakeholders, such as investors, analysts, rating agencies, media, and the public, you can build trust, credibility, and reputation for your securities and your company. You can use various channels and tools to communicate with your stakeholders, such as roadshows, webinars, press releases, social media, and websites. You should provide clear, consistent, and timely information about your securities, your company's performance, strategy, risks, and opportunities, and your industry outlook.

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Matheus de Souza Barboza

E-commerce | Marketplaces | Finan?as | Estratégia | Consultor | Conselheiro | C-level | Valuation
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Auditoria e Revis?o Independente ?? Auditoria Externa: Realizar auditorias independentes e transparentes para validar informa??es financeiras e garantir conformidade com as normas e regulamentos. ?? Análise de Especialistas: Contratar analistas e consultores independentes para revisar e analisar a emiss?o, fornecendo opini?es imparciais sobre sua viabilidade e atratividade.

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3 Monitor the market

Securities issuance is not a one-time event, but a continuous process that requires constant monitoring and evaluation. You should keep track of the market conditions, the demand and supply of your securities, the pricing and trading activity, the feedback and sentiment of your investors, and the performance and behavior of your competitors. You should also be prepared to respond to any changes or challenges that may affect your securities issuance, such as market volatility, regulatory updates, legal disputes, or reputational issues. You should update your information and disclosures accordingly and inform your stakeholders of any material developments.

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Matheus de Souza Barboza

E-commerce | Marketplaces | Finan?as | Estratégia | Consultor | Conselheiro | C-level | Valuation
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Conformidade com Regulamentos ?? Respeito às Normas: Assegurar que a emiss?o esteja em conformidade com todas as leis, regulamentos e normas aplicáveis, como a Lei das Sociedades por A??es e regulamentos da Comiss?o de Valores Mobiliários (CVM). ?? Documenta??o Legal: Preparar todos os documentos legais necessários, como contratos de subscri??o e termos de oferta, de acordo com os padr?es regulatórios.

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4 Leverage technology

Technology can be a powerful ally in ensuring transparency in securities issuance. You can use various software and platforms to automate, streamline, and enhance your securities issuance process, such as data analysis, document preparation, due diligence, compliance checks, investor relations, and reporting. You can also use technology to improve your security, privacy, and accuracy of your information and transactions, such as encryption, blockchain, or artificial intelligence. You should leverage technology to optimize your efficiency, quality, and reliability of your securities issuance.

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5 Seek professional advice

Securities issuance is a complex and challenging task that requires a high level of expertise, experience, and judgment. You may not have all the resources, skills, or knowledge to handle it on your own. You may benefit from seeking professional advice from external parties, such as investment bankers, lawyers, accountants, auditors, or consultants. They can help you with various aspects of your securities issuance, such as structuring, pricing, marketing, distribution, documentation, regulation, and risk management. They can also provide you with valuable insights, guidance, and feedback to improve your transparency and performance.

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Esther Kiilu

CIPP/E-Data Privacy|Compliance | Regulatory Affairs | Conduct | Financial Crime | Reputation
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Seeking professional services of experienced service providers such as Investment Bank, Lawyers is important to cover the nuances of securities issues.

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6 Here’s what else to consider

This is a space to share examples, stories, or insights that don’t fit into any of the previous sections. What else would you like to add?

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Matheus de Souza Barboza

E-commerce | Marketplaces | Finan?as | Estratégia | Consultor | Conselheiro | C-level | Valuation
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Transparência nos Termos da Oferta ?? Divulga??o de Termos: Disponibilizar claramente os termos da oferta aos investidores, incluindo pre?o de emiss?o, quantidade de valores mobiliários oferecidos, prazos e condi??es. ?? Diálogo Aberto: Estabelecer um canal de comunica??o direto com investidores para esclarecer dúvidas e fornecer informa??es adicionais sobre a emiss?o.

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How can you ensure transparency in securities issuance?

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1 Understand the regulations

2 Engage with stakeholders

3 Monitor the market

4 Leverage technology

5 Seek professional advice

6 Here’s what else to consider

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