James Clare

Partner

Bennett Jones LLP

James Clare has a corporate commercial and securities law practice, with an emphasis on corporate finance and mergers and acquisitions, focused on assisting clients in the mining and oil and gas sectors. His transactional experience includes domestic and cross-border public and private corporate finance transactions representing issuers and underwriters as well as merger and acquisitions transactions. He also advises public issuers on general corporate and securities law matters including stock exchange listings, continuous disclosure obligations and other regulatory compliance issues.

    Topic

    2:35 PM - 3:15 PM

    Thursday November 14 2024

    What you Should Know About Foreign Issuers and the PIPE Market

    • Overview of foreign securities laws and exchange listing requirements
    • Restrictions on transfer/resales of securities (Regulation S, Restrictive Legends)
    • Differences in documentation from domestic PIPEs
    • Canadian issuers, their regulatory regime, holding exemptions, and the US/Canada disclosure system
    • U.S. registration and dual listings; Exemptions from ’34 Act registration for foreign private issuers
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