Sentences with phrase «acted as underwriters»

The action names as defendants Sino - Forest's auditor, Ernst & Young LLP, as well as financial institutions that acted as underwriters for Sino - Forest in its 2009 prospectus offerings.

The Magic Circle firm advised Citi, Rand Merchant Bank, Standard Bank and Standard Chartered as lead arrangers and acted as underwriters of a USD 800 million syndicated loan for the Kenyan government.

Goldman Sachs is currently providing advisory services and acting as an underwriter in connection with an anticipated initial public offering of the portfolio company acquired in 2005.

This delivery requirement is in addition to the obligation of dealers to deliver a prospectus when acting as underwriters and with respect to their unsold allotments or subscriptions.

The insurer contracts with the law firm to act as an underwriter.

Bank of America Merrill Lynch, Barclays and Deutsche Bank are acting as underwriters on the debt sale.

Other programs may allow the policy holder to act as the underwriter.

For example, because Morgan Stanley is not acting as an underwriter, it will not have engaged in a book building process, and as a result, it will not be able to provide input to the DMM that is based on or informed by that process.

Not exact matches

While there is no «underwriter» in the traditional sense, Spotify has hired some bankers to act as consultants, including Morgan Stanley.

Hunter Taubman Fischer & Li LLC acted as counsel to the Company, Ogier acted as Cayman Islands legal counsel to the Company, and Mei & Mark LLP acted as counsel to the underwriters for the IPO.

Of these shares, all shares of common stock sold in this offering by us and the selling stockholders, plus any shares sold upon exercise of the underwriters» over-allotment option, will be freely tradable in the public market without restriction or further registration under the Securities Act, unless these shares are held by «affiliates,» as that term is defined in Rule 144 under the Securities Act.

has agreed to act as a qualified independent underwriter for this offering and to undertake the legal responsibilities and liabilities of an underwriter under the Securities Act, specifically including those inherent in Section 11 of the Securities Aact as a qualified independent underwriter for this offering and to undertake the legal responsibilities and liabilities of an underwriter under the Securities Act, specifically including those inherent in Section 11 of the Securities AAct, specifically including those inherent in Section 11 of the Securities ActAct.

The underwriters are just big investment banks such as Citi Group, Goldman Sachs, JP Morgan that acts as the middleman / salesman between the company and the average investors.

The lead underwriters for the deal are Canaccord Genuity Corp. and PI Financial Corp., with Industrial Alliance Securities Inc., INFOR Financial Inc., Echelon Wealth Partners Inc. and Mackie Research Capital Corporation also acting as agents.

In our Securities Practice, we act as counsel to more than 80 public companies (including 20 Chinese issuers), as well as, numerous FINRA (formerly NASD) licensed underwriters and placement agents in connection with their financing activities, including private placements and public offerings of equity and debt securities.

Authorized Participants are cautioned that some of their activities will result in their being deemed participants in a distribution in a manner which would render them statutory underwriters and subject them to the prospectus - delivery and liability provisions of the Securities Act of 1933, as amended («Securities Act»), as described in «Plan of Distribution.»

The underwriters act as brokers.

Glass - Steagall Act of 1939: The federal law that prohibited banks from acting as dealers or underwriters in any securities other than general obligation municipal bonds.

Broker - dealers at banks or brokerage houses, known as the underwriter, act as intermediaries between the issuer and the bond buyer.

The underwriter acts as an agent for the issuer in distributing the issue.

(a) Northern Lights Distributors, LLC, the principal underwriter to the Trust also acts as principal underwriter for the following investment companies:

Ceros Financial Services, Inc., located at 1445 Research Boulevard, Suite 530 Rockville, MD 20850, serves as principal underwriter for the Tree Ring Stock Fund and maintains all records required to be maintained pursuant to the Fund's Master Distribution and Shareholder Servicing Plan and Agreements adopted pursuant to Rule 12b - 1 under the 1940 Act.

Foreside Distribution Services, L.P. (the «Distributor») serves as principal underwriter for the following investment companies registered under the Investment Company Act of 1940, as amended:

(a) Schwab acts as principal underwriter and distributor of Registrant's shares.

Acting as issuer or underwriters» counsel on various corporate reorganizations and listing on Asian stock exchanges.

The underwriters were J.P. Morgan Cazenove and Deutsche Bank AG, London Branch (represented by Freshfields Bruckhaus Deringer LLP) and Rothschild acted as financial advisor to BTG.

Miami's public finance lawyers act as bond counsel, underwriters» counsel, disclosure counsel and structuring counsel for a broad range of projects.

Business Development: Brokering various business dealings that further the diversification of Indian economies Developing and accessing commercial financial programs and services for tribal governments, including tax - exempt offerings and federally - guaranteed housing loans Serving as issuer or underwriter's counsel in tribal bond issuances Ensuring tribal compliance with Bank Secrecy Act and other federal financial regulatory requirements Handling federal and state income, excise, B&O, property and other tax matters for tribes and tribal businesses Chartering tribal business enterprises under tribal, state and federal law Registering and protecting tribal trademarks and copyrights Negotiating franchise agreements for restaurants and retail stores on Indian reservations Custom - tailoring construction contracts for tribes and general contractors Helping secure federal SBA 8 (a) and other contracting preferences for Indian - owned businesses Facilitating contractual relations between tribes and tribal casinos, and gaming vendors Building tribal workers» compensation and self - insurance programs Government Relations: Handling state and federal regulatory matters in the areas of tribal gaming, environmental and cultural resources, workers» compensation, taxation, health care and education Negotiating tribal - state gaming compacts and fuel and cigarette compacts, and inter-local land use and law enforcement agreements Advocacy before the Washington State Gambling Commission, Washington Indian Gaming Association and National Indian Gaming Commission Preparing tribal codes and regulations, including tribal court, commercial, gaming, taxation, energy development, environmental and cultural resources protection, labor & employment, and workers» compensation laws Developing employee handbooks, manuals and personnel policies Advocacy in areas of treaty rights, gaming, jurisdiction, taxation, environmental and cultural resource protection Brokering fee - to - trust and related real estate and jurisdictional transactions Litigation & Appellate Services: Handling complex Indian law litigation, including commercial, labor & employment, tax, land use, treaty rights, natural and cultural resource matters Litigating tribal trust mismanagement claims against the United States, and evaluating tribal and individual property claims under the Indian Claims Limitation Act Defending tribes and tribal insureds from tort claims brought against them in tribal, state and federal courts, including defense tenders pursuant to the Federal Tort Claims Act Assisting tribal insureds in insurance coverage negotiations, and litigation Representing individual tribal members in tribal and state civil and criminal proceedings, including BIA prosecutions and Indian probate proceedings Assisting tribal governments with tribal, state and federal court appeals, including the preparation of amicus curiae briefs Our Indian law & gaming attorneys collaborate to publish the quarterly «Indian Legal Advisor ``, designed to provide Indian Country valuable information about legal and political developments affecting tribal rights.

Loong & Yeung acted as Hong Kong legal adviser to LEAP Holdings whilst D.S. Cheung & Co. is the legal adviser to the sponsor and underwriters as to Hong Kong law.

David Roberts and Ian Cooper lead the team in Leeds; in addition to handling a significant share of NHSLA matters, the team also acts for the Medical and Dental Defence Union of Scotland as well as a number of private health providers and Lloyds underwriters.

EG&S acted as counsel to the Underwriter.

Bola has extensive experience representing leading financial services firms and other institutions, acting as counsel to issuers, underwriters, and other capital markets participants in a wide range of transactions.

Our public finance practice includes acting as bond counsel and as counsel to underwriters, issuers, borrowers, credit enhancement providers and trustees on a wide range of public finance structures.

Leah Sanzari, a partner in Orrick's New York office, acts as counsel to issuers, underwriters, servicers, placement agents and investors in connection with both public offerings and private placements.

He has also acted on behalf of underwriters and dealers in both public and private offerings of equity and debt and assists clients with corporate governance matters and continuous disclosure compliance obligations, as well as general corporate and commercial matters.

They can act, especially at first, in the transition period, as guarantors, as underwriters, as providers of reputation metrics and things like that that are required in the early days of the system.»

Acted as liaison between underwriters, agents, and vendors.

Mortgage brokers don't have their own money or their own underwriters; they simply act as a middleman to match borrowers with lenders.

The potential list of players includes real estate brokers, appraisers, engineers and investment banks, who may act as advisers and underwriters.

Mr. Erkes has acted as sole MAP Underwriter for 104 HUD MAP Loans closed since the MAP Program began in 2001.

Goldman Sachs and JPMorgan are acting as representatives to the underwriters for the offering.