Find Lawyers in Australia for Equity Capital Markets Law
Practice Area Overview
“Equity Capital Markets” is the practice area that relates to securities issuance and other equity market transactions.
This area of practice is typically understood to encompass the following specific services and transaction types:
- Public listings - which involves advising entities on their entry onto public markets such as the Australian Securities Exchange (“ASX”), whether by an Initial Public Offering (commonly referred to as an “IPO”) or by a reverse takeover of a pre-existing listed entity (referred to as a “backdoor listing”);
- Capital raisings - which involves advising entities (whether public or private) on a spectrum of secondary securities offerings, including placements, rights issues, public offers, and hybrid raisings;
- Offerings of securities by entities (whether public or private) under executive or employee incentive schemes, including share, option, and performance rights’ plans;
- General corporate law, regulatory compliance, and ASX Listing Rule advice - including advice regarding directors’ duties, regulatory approvals, and an entities disclosure requirements to its shareholders and investors; and
- Corporate governance - which may involve designing and assisting in implementing necessary corporate governance policies and systems, advising on corporate governance issues and ensuring compliance with the ASX Corporate Governance Principles and Recommendations.
In Australia, the process by which entities solicit investments in their securities has been a central concern of corporate regulation. To balance the informational asymmetries between issuer and investor, the Corporations Act 2001 (Cth) regulates all fundraising activity in Australia through the Australian Securities & Investments Commission (“ASIC”). For entities which are listing or are already listed on the ASX, the ASX Listing Rules also prescribe certain rules and regulations regarding the issue of securities (amongst other matters).
In addition to acting for the entities seeking to raise capital from equity capital markets, lawyers in this area also often act for the numerous other parties involved in equity market transactions, such as selling shareholders, brokers, lead managers, investments banks, private equity firms, corporate advisors, and underwriters.
This area of practice also often intersects with other areas of legal practice such as “Mergers & Acquisitions” and “Private Equity.” For example, a private equity client may pursue an exit of its investment in an entity by undertaking a dual track IPO and trade sale process, or a client may raise capital in order to undertake an acquisition. Accordingly, lawyers in this practice area also may act for entities with respect to significant transactions, including major changes to the nature or scale of the entity’s activities.
Richard Beissel leads Cowell Clarke’s Financial Services and Equity Capital Markets teams, and is a Director of our Commercial Transactions and Corporate teams. Richard advises clients on matters including financial services licensing compliance, fundraising and finance, business structuring and joint ventures, securities regulation, operations and governance, and commercial restructuring. Richard has also acted for a variety of corporations, fund managers, trustees and high net wealth ...
James is the leader of our Public M&A and Equity Capital Markets practice. He is a current member of the Australian Takeovers Panel and has extensive experience working in top-tier corporate law firms in Australia and London. James’ experience includes leading the Kain teams advising: SILK Laser Clinics (ASX:SLA) on its proposed acquisition by Australian Pharmaceutical Industries (API) (a subsidiary of Wesfarmers (ASX:WES)) by way of scheme of arrangement for approximately $180m; Ke...
Gerry is the leader of our M&A (Private) and Equity Capital Markets (Private) practices. He has been advising on capital raising transactions, mergers and acquisitions and capital structuring for over 30 years in key financial markets including Sydney, Hong Kong and London. He is a trusted advisor to our clients. Gerry’s experience includes leading the Kain teams advising: sportsmed on the sale of their hospital to Burnside War Memorial Hospital; SILK Laser Clinics (ASX:SLA) on its ...
Brett Cowell is a founding partner and the Chairman of Cowell Clarke and is a Director of the firm’s Corporate and Commercial team. Brett’s passion for science, technology, and innovation has enabled him to support corporate and business clients in growing and protecting their tangible and intellectual property assets. Brett has very broad-based experience, with a particular interest in advanced manufacturing, defence, ICT, life sciences and technology businesses on a national and...
Eugene has over 28 years’ experience practising corporate and commercial law. Eugene’s range of industry experience includes energy (particularly renewable energy) and resources projects, mining services, agribusiness, manufacturing, private equity, financial services, technology commercialisation, property development, and franchising. Eugene’s areas of expertise are: Corporate finance – equity capital markets, public market floats, securities and financial services l...
Scott Gibson practises in the areas of mergers and acquisitions, equity capital markets, corporate, reconstructions and commercial law. He has a wide range of experience in all forms of mergers and acquisitions (both public and private) as well as initial public offerings, secondary raisings and general corporate and ASX Listing Rule matters. Scott also has significant private equity and joint venture experience. Scott advises on all forms of change of control transactions, general corporate ...
Consistently ranked by clients and peers as a leading corporate lawyer, Kain Lawyers’ founder and Managing Director has over 25 years’ experience in M&A and equity capital markets law. John’s experience ranges across private equity, capital markets and mergers and acquisitions. His experience in advising public and private companies and investment funds has seen him consistently ranked by the AFR’s ‘Best Lawyers in Australia’ and Doyles Guide as a leadi...
Tony has been the Hall & Wilcox Managing Partner since 2007. He is well recognised in the legal sector and has led the firm through a period of substantial growth and success. Tony won Managing Partner of the Year at the Australian Law Awards in 2017 and 2015 (and was a finalist in 2014 and 2016). He was also a finalist for Law Firm Leader at the Australasian Law Awards in 2017. Tony won the Law Institute of Victoria Managing Partner of the Year Award in 2009. Tony, as Managing Partner of...
Michele is a Partner in our Corporate practice and he has practised exclusively in corporate law for the duration of his legal career. Michele has extensive experience in mergers and acquisitions and capital markets transactions, including the negotiation of significant commercial contracts and agreements. While Michele has led a large number of transactions in the resources and energy sector, Michele also advises heavily in the technology and media sector to national and international client...
David is a specialist mergers & acquisitions and equity capital markets lawyer, who prides himself on delivering successful outcomes for his clients. He is highly sought after for his commitment to, and passion for, providing service of the highest quality. In addition to public and private M&A and capital markets, he is also experienced in joint ventures, corporate and commercial advisory and corporate governance across a number of sectors, including technology, retail, professional ...
Mark is a corporate, securities and funds partner with over 25 years’ Australian, United States, and international experience working in Sydney and New York. Mark has a particular focus on Australian and cross border securities transactions, mergers and acquisitions, fund and managed investment structuring and joint ventures involving companies located in Australia and international jurisdictions. Mark also represents New York Stock Exchange and NASDAQ listed companies in their operatio...
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