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The Financial Markets Law Practice is a complex area of law that governs the issuance and trading of securities and other financial instruments. This practice is dedicated to advising clients, including public companies, investment banks, and brokerage firms, on the extensive body of statutes and regulations designed to ensure market integrity, protect investors, and promote capital formation. It covers a wide range of transactional and compliance matters, such as guiding companies through the process of an Initial Public Offering (IPO) or other securities offerings. Practitioners also advise on ongoing disclosure and reporting obligations, corporate governance standards for public companies, and compliance with rules prohibiting market manipulation and insider trading. The practice also includes representing clients in investigations and enforcement actions brought by securities regulators.
Financial markets are the marketplaces where buyers and sellers participate in the trading of financial assets such as stocks, bonds, currencies, and derivatives. These markets are a critical component of a modern economy, as they facilitate the channeling of savings and investments between suppliers of capital and those who are in need of capital. They provide a platform for businesses and governments to raise money and for investors to grow their wealth through the ownership of financial instruments.
The main types of financial markets are typically categorized by the asset being traded. The most well-known are the stock market, where shares of ownership in public companies are bought and sold, and the bond market, which is for the trading of debt instruments issued by corporations and governments. Other major markets include the derivatives market, where financial contracts are traded, and the foreign exchange (forex) market, which is dedicated to the trading of currencies.
The difference is based on where the capital flows. The primary market is where securities are created and sold for the very first time, such as in an Initial Public Offering (IPO). In this market, the proceeds from the sale go directly to the issuing company to fund its growth. The secondary market, such as a stock exchange, is where those previously issued securities are then traded among investors. In this market, the proceeds from a sale go from one investor to another, not to the company.
Insider trading is the illegal practice of trading a public company’s securities, such as its stock, based on material, non-public information obtained through a position of trust or confidence. This confidential information gives the trader an unfair advantage over other investors. It is a serious securities law violation because it undermines the integrity of the financial markets, which are supposed to operate on the principle that all participants have access to the same information.
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