White Paper

8 Pages
  • 8 Pages

Agent/Debt and Warrant Unit Issue


Compliance with securities law remains crucial in the public mixed debt and equity market.

To illustrate requirements in the public capital markets, clauses have been taken from a publicly issued combined debt and warrant issue transaction. Like the foregoing, these clauses were selected as being balanced and reasonable clauses dealing with the agent roles and responsibilities in an agent and transaction.  In this case a best efforts offering by an agent syndicate, through a selling syndicate, to underlying investors on a public basis.  The clauses were selected both to illustrate a reasonable balancing of responsibilities between the issuer, agent and the syndicate as to compliance with securities law requirements, and the relationship between the agent and the syndicate.  These clauses were taken from an agency agreement, entered into between the issuer and the agent.  That agreement does however contemplate the relationship between the agent and the selling syndicate, and among the agents.  Consideration will need to be given to using an underlying selling document, to address specific issues of the relationship between the agent and its selling syndicate.  Each of the issues that need to be considered is, however, illustrated in this white paper.



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