The Capital Market and Financial Intermediaries Law department provides assistance and advice to Issuers, Bidders and Advisors in relation to flotations and public offers for subscription or purchase of financial instruments, and as part of offers for admission to listing of equities and debt securities on regulated and unregulated markets. The Department also offers assistance and advice to banks, Italian investment management and asset management companies with regard to investment services and collective undertakings.
In particular, Nctm assists clients with regard to the:
- preparation of offer documents and contracts for flotations, tender offers, initial public offerings and takeover bids;
- listing of securities on regulated markets and multilateral trading systems (AIM Italia);
- compliance with corporate governance obligations for listed issuers (corporate disclosures, ownership structures, shareholders’ agreements, remuneration plans, related party transactions, etc.);
- relations between listed issuers, shareholders and institutional investors;
- procedures for intermediaries to become eligible to provide investment, crowdfunding and collective undertaking services;
- compliance with regulations on investment and collective undertaking services (internal procedures, organization and rules of conduct for intermediaries and financial sales networks);
- investigation and sanction procedures launched by Supervisory Authorities against banks, Italian investment companies and asset management companies.