Securities Regulations

J & Griff’s advisors provide legal assistance in the process of offering securities to the public or private investors. This includes initial public offerings (IPOs), private placements and other types of securities offerings.

Advising companies and financial institutions on complying with securities laws and regulations, such as the Securities Act of 1933 and the Securities Exchange Act of 1934 in the United States; UK’s FCA rulebook and EU securities regulation.

Assisting public and listed companies achieve their ongoing disclosure obligations including filing periodic reports with regulatory authorities (e.g., the Securities and Exchange Commission – SEC in the U.S.; ESMA in EU and the FCA in UK).

J & Griff’s advisers are experts in providing guidance on corporate governance practices and compliance with securities regulations ensuring proper accountability to shareholders and stakeholders.

Assisting clients in understanding and complying with laws related to insider dealing and market manipulation, which aim to prevent unfair advantages and maintain market integrity.

Advising investment advisers and broker-dealers on registration, compliance, and other regulatory matters.

 Safeguarding that the offered securities included in mergers, acquisitions, and other business transactions are in conformity with the relevant disclosure requirements by specified authorities.

J & Griff’s team of advisors offer legal services for the establishment, adherence of regulations, and monitoring of investment funds, such as hedge funds, mutual funds, ETF’s and private equity funds.