Prospectus and Transparency
Gain insight into the key components of a prospectus, including essential sections such as the summary, risk factors, issuer information, financial details, and terms of the offer.
- 5 CPD Units
- 5 Hours
- All Levels
This course on the Prospectus Regulation is designed to provide learners with a comprehensive understanding of the regulatory framework governing the preparation, approval, and publication of a prospectus for public offers and the admission of securities to regulated markets. This Regulation plays a crucial role in ensuring transparency and investor protection across the European Union. Through this course, learners will gain insight into the key components of a prospectus, including essential sections such as the summary, risk factors, issuer information, financial details, and terms of the offer. You will also explore the various approval processes that issuers must navigate, including the roles of competent authorities such as CySEC, the European Securities and Markets Authority (ESMA), and the legal requirements for publication and dissemination of the prospectus.
Additionally, the course will cover the responsibilities and liabilities of the parties involved in the preparation and approval of the prospectus, such as the issuer’s board of directors, legal advisors, auditors, and underwriters. It will also delve into the administrative sanctions for non-compliance and the mechanisms for whistleblower protection to ensure effective enforcement of the regulation. Special provisions, including the EU Growth Prospectus and Simplified Prospectus, will be addressed, particularly for small and medium-sized enterprises (SMEs). By the end of the course, learners will be equipped with a thorough understanding of the Prospectus Regulation, its application across EU member states, and its critical role in fostering market integrity and investor trust.
Why This Course Matters
This course is crucial for anyone who wants to stay ahead in the financial and regulatory sectors, understand the legal framework for securities, and ensure both investor protection and market integrity in the EU.
Course Content
Part I: Prospectus Regulation
Module 1: Subject Matter and Scope of the Prospectus Regulation
Module 2: Requirements and Exemptions
Module 3: Drawing Up a Prospectus
Module 4: Approval and Publication
Module 5: Administrative Sanctions and Compliance
Part II: Transparency Laws
Introduction to Transparency Requirements
Module 1: Information Reporting Requirements for Issuers
Module 2: Framework of Communication for Issuers and Holders of Securities
Module 3: Shareholder Obligations
Learning Outcomes
By the end of this course, participants will be able to:
- Understand the Prospectus Regulation framework.
- Identify key components of a prospectus.
- Navigate the approval process for a prospectus.
- Understand publication and dissemination requirements.
- Recognize the responsibilities and liabilities of key parties involved.
- Learn about administrative sanctions for non-compliance.
- Explore special provisions for SMEs.
- Understand whistleblower protection mechanisms.
- Apply knowledge across EU member states.
- Enhance market integrity and investor trust.
Participants
This course is perfect for anyone looking to gain a comprehensive understanding of the Prospectus Regulation, enhance their market knowledge, and ensure their organization’s compliance with critical EU transparency requirements.
It is particularly beneficial for:
- Legal Advisors
- Issuers & Their Boards of Directors:
- Auditors
- Compliance Officers
- Investment Bankers & Underwriters
- Regulatory Authorities
- Small & Medium-sized Enterprises (SMEs)
- Corporate Governance Professionals
- Anyone Interested in EU Market Regulation
Training Duration
This course may take up to 5 hours to be completed. However, actual study time differs as each learner uses their own training pace.
Training Method
The course is offered fully online using a self-paced approach. The learning units consist of reading material, video presentations, quizzes and case studies. Learners may start, stop and resume their training at any time.
At the end of the training, participants take a Quiz to complete their learning and earn a Certificate of Attendance.
Registration and Access
To register to this course, click on the Get this course button to pay online and receive your access instantly. If you are purchasing this course on behalf of others, please be advised that you will need to create or use their personal profile before finalising your payment.
If you wish to receive an invoice instead of paying online, please contact us at info@eimf.eu. Access to the course is valid for 180 days.
This programme has been developed by the European Institute of Management and Finance (EIMF), an EU recognised training institution.
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