Our US securities law practice provides clients with solutions to the challenge of compliance with US securities laws in cross-border transactions. Working as part of a multi-jurisdictional legal team, we primarily focus on cross-border offerings with a US capital markets component.
Our experience comprises a range of transactions including international capital markets (including equity, investment grade and high-yield debt offerings and securitisations), M&A, venture capital, banking, derivatives, investment funds, investment bank litigation and regulatory matters.
We also advise on a wide range of US corporate and securities issues, including the US regulation of tender offers, business combinations and ongoing compliance with US securities laws by SEC registered companies. We have significant expertise in advising leading investment banks and issuers on US securities laws, including the delivery of 10b-5 due diligence letters. We also regularly advise on issues arising under the Investment Company Act of 1940.
Based in London, Moscow and Hong Kong, we work closely with all other Herbert Smith offices. We concentrate on advising on US law aspects of our European and Asian deals. We do not work in competition with US firms – rather we have forged close relationships with them.
For further information please contact:
Europe: Jim Wickenden; CIS: Allen Hanen; Asia: John Moore
"Clients recommended Alex Bafi, an extremely bright US lawyer with an incredibly deep knowledge of the continental ways of doing business. An all-rounder who endeavours to know his clients' business intrinsically, Jim Wickenden, also US-qualified, is instrumental in the co-ordination of the group's global finance capacities"
Chambers Europe 2007
"Another string to the firm's bow came this year in the arrival of John Moore from Goldman Sachs. The move has boosted the firm's ability to advise on both Hong Kong and US law aspects of deals"
IFLR 1000 2007