Capital raising in the offshore market

Article Abstract:

The Securities and Exchange Commission adopted Regulation S in 1990 and modified it in 1996 to aid US firms that seek to raise capital in the offshore market. In examining how offshore offerings are made under Regulation S, it was found that small firms are more likely to raise capital in the offshore market, with the median market capitalization of reporting firms at $16.82 million before the rule was amended in 1996. Before disclosure requirements were implemented under Regulation S, corporations were also allowed to give foreign investors sufficient time to resell before the initial sale became public information.

Regulation, Licensing, and Inspection of Miscellaneous Commercial Sectors, Trading Regulations, Research, Interpretation and construction, Laws, regulations and rules, Stocks, Securities law, Capital, Securities trading

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The direct and compliance costs of financial regulation

Article Abstract:

An assessment of direct and indirect regulatory costs involving United Kingdom's financial services industry was undertaken and was compared with its other major competitors, such as US and France. For every 1 pound sterling, financial services industry's indirect costs were estimated at around 4 pound sterling. The yearly aggregate cost is projected to be 100 million pounds sterling. The direct regulatory costs for UK's securities and derivatives trading and broking firms are much lower compared to those in the US and France.

Investment Banking and Securities Dealing, Security and Commodity Services, Securities Services, United Kingdom, Economic aspects, Financial services industry, Financial services, Securities industry, Industry regulations, Government regulation of business, Trade regulation, Compliance, Compliance (Psychology)

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