What is the SEC equivalent in the UK?
The Financial Conduct Authority (FCA) regulates the financial services industry in the UK.
What is the SEC in London?
The London Stock Exchange, the largest in the world in terms of the number and variety of domestic and international securities traded, is an independent institution not subject to governmental regulation.
Who are the regulators in the UK?
UK regulators, government and other bodies
- Prudential Regulation Authority.
- Bank of England.
- Financial Policy Committee.
- The Treasury.
What is Form F 4 used for?
Form F-4 is a registration statement used to register securities issued by a foreign private issuer in connection with certain business combinations, exchange offers, reclassifications, mergers, consolidations and asset transfers.
What is a form F 3?
SEC Form F-3 is a regulatory form to register securities that is used by foreign private issuers who meet certain criteria. When applicable, this form, also known as the “Registration Statement”, must be filed with the Securities and Exchange Commission (SEC) in accordance with the Securities Act of 1933.
What is SEC Form 8-K?
Form 8-K is the “current report” companies must file with the SEC to announce major events that shareholders should know about. Other Events (The registrant can use this Item to report events that are not specifically called for by Form 8-K, that the registrant considers to be of importance to security holders.)
What’s an 8k?
An 8-K is a report of unscheduled material events or corporate changes at a company that could be of importance to the shareholders or the Securities and Exchange Commission (SEC).
Can a U.S. person buy Reg S securities?
Resale Restrictions Securities cannot be offered or sold to U.S. person during the distribution compliance period unless the transaction is registered under the Securities Act or exempt from registration.
Who can buy Reg S?
Both the issuer and resale safe harbors of Regulation S are available to market participants only if (1) the offer or sale is made as part of an “offshore transaction” and (2) none of the parties make any “directed selling efforts” in the United States.