《management企业管理类英文版PPT课件2.ppt

《management企业管理类英文版PPT课件2.ppt

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Lecture Agenda Learning Objectives Important Terms Conflicts between Issuers and Investors Securities Legislation in Canada IPOs and Investment Banking Post-IPO Regulation and Seasoned Offerings Summary and Conclusions Concept Review Questions Learning Objectives You should understand the following: That the core problem in raising capital is information asymmetry, which, in extreme cases, can to lead to fraudulent activities The importance of securities laws and regulations in financial markets The basic steps included in the initial public offering (IPO) process What is included in a prospectus and why it is critical for IPOs Why continuous disclosure requirements are important for investors, and how they affect secondary offerings. Important Chapter Terms Agency theory Asymmetric information Banking (or dealer) syndicate Bearer bonds Best efforts offering Bought deal Continuous disclosure Distribution period Due diligence Exempt market Fair disclosure Firm commitment offering Greenshoe Initial public offering (IPO) Investment Dealers Association Lead investment dealer Limit orders Lock-up period Long-form prospectus Market or disaster “out” clause Market orders Offering memorandum Overallotment Important Chapter Terms… Ponzi scheme Preliminary prospectus Private equity Prospectus Reporting issuers Securities and Exchange Commission (SEC) Selling group Short-form prospectus Spinning Spread Standby or rights offering Underpricing Underwrite Venture capital Waiting period Participants in Securities Markets Investment Banking and Securities Law Issuers and Investors in Securities Issuers of Securities Corporations must issue securities to raise capital in order to invest in plant/equipment, working capital, research and development in order to produce products and services that meet needs in a competitive market environment. Corporations must design securities that meet the investing needs of investors. Investors in Securities Investors has surplus cash at the mo

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