capital-markets
24 skills across 2 jurisdictions.
Skills
ATM Equity Distribution Agreement
Drafts a market-standard At-The-Market (ATM) Equity Distribution Agreement for public issuers conducting continuous shelf offerings under Rule 415(a)…
Bad Actor Disqualification Review (Rule 506(d))
Produces a Rule 506(d) bad actor disqualification review for private securities offerings, including a covered persons register, tailored questionnai…
Blue Sky Filings Compliance Workflow
Produces a practitioner-grade Blue Sky compliance memorandum and execution plan for U.S. securities offerings. Analyzes NSMIA covered securities pree…
Comfort Letter from Auditors
Drafts PCAOB AS 6101-compliant auditor comfort letters (cold comfort letters) providing negative assurance on unaudited financial information for und…
Directed Share Program
Drafts a Directed Share Program (DSP) agreement governing share allocation and purchase by designated participants in a U.S. public offering or IPO. …
Director and Officer Questionnaire
Drafts Director and Officer (D&O) questionnaires for SEC disclosure compliance under Reg S-K Items 401, 402, 404, and 407. Covers biographical data, …
ecm-dd-independence
资本市场尽职调查 Skill:发行人独立性核查(对应《编报规则第 12 号》第 4 章)。 当用户提到以下场景时触发:独立性、五独立、资产独立、业务独立、人员独立、财务独立、 机构独立、资产完整、业务完整、完整的业务体系、直接面向市场独立持续经营、 控股股东依赖、实控人依赖、关联方依赖、高管兼职、…
Form 10-K Annual Report
Drafts SEC Form 10-K Annual Reports under the Securities Exchange Act of 1934. Structures all four Parts with Regulation S-K compliance and GAAP fina…
Form 10-Q Quarterly Report
Drafts SEC-compliant Form 10-Q quarterly reports covering Part I financials, MD&A, market risk, controls, Part II updates, exhibits, and SOX certific…
Form 8-K Current Report
Drafts SEC Form 8-K current reports with item-accurate narratives, exhibit indexing, and EDGAR-ready formatting. Use when a public company must discl…
Form D Notice of Exempt Offering
Drafts SEC Form D Notice of Exempt Offering for EDGAR filing under Regulation D. Captures issuer details, related persons, offering structure, exempt…
Form D Notice of Exempt Offering
Drafts U.S. SEC Form D notice data sets for Regulation D exempt offerings (Rule 504, 506(b), 506(c)), ready for EDGAR submission. Use when preparing …
Lock-Up Agreement
Drafts U.S. IPO/secondary offering lock-up agreements restricting securityholder transfers and hedging during the post-offering period. Trigger when …
Opinion of Counsel for SEC Filing
Drafts Opinion of Counsel letters for SEC registration statements, covering due incorporation, valid issuance, fully-paid and non-assessable opinions…
Private Placement Memorandum (PPM)
Drafts U.S. Regulation D Private Placement Memoranda (PPMs) with required legends, risk factors, capitalization, securities terms, and subscription p…
Private Placement Memorandum (PPM)
Drafts a legally compliant Private Placement Memorandum for Regulation D offerings (Rule 506(b)/506(c)), covering full disclosure framework including…
SEC Prospectus Draft
Drafts SEC-compliant prospectuses for securities offerings, structuring company data, financials, risk factors, and offering terms into a regulatory …
SEC Regulation D Compliance
SEC Regulation D compliance for CRE syndications: 506(b) vs 506(c) offering selection, accredited investor verification, Form D filing, state blue sk…
Securities Prospectus
Drafts SEC-compliant prospectuses for U.S. securities offerings (IPOs, follow-ons, private placements). Structures cover page, risk factors, use of p…
Shelf Registration Statement (Form S-3)
Drafts SEC Form S-3 shelf registration statements for eligible U.S. public companies under the Securities Act of 1933. Verifies issuer eligibility (p…
Underwriting Agreement
Drafts a firm-commitment underwriting agreement for SEC-registered U.S. public offerings, covering purchase terms, greenshoe, reps and warranties, co…
监管问询回复助手(IPO 版)
监管问询回复助手(IPO 版)- 协助撰写 IPO 审核问询回复。当用户需要为 IPO 项目准备交易所/证监会问询回复、梳理回复思路、组织回复材料或核查回复内容时触发此技能。适用于投行、律所、会所等中介机构的 IPO 项目场景。
监管问询回复助手(债券版)
监管问询回复助手(债券版)- 协助撰写债券审核问询回复。当用户需要为公司债、企业债等债券项目准备交易所/交易商协会问询回复、梳理回复思路或组织回复材料时触发此技能。适用于投行、律所、会所等中介机构的债券承销场景。
监管问询回复助手(再融资版)
监管问询回复助手(再融资版)- 协助撰写再融资审核问询回复。当用户需要为定增、配股、可转债等再融资项目准备交易所/证监会问询回复、梳理回复思路或组织回复材料时触发此技能。适用于投行、律所、会所等中介机构的再融资项目场景。
capital-markets legal skills by jurisdiction
Capital markets work turns on timing, precision, and an unforgiving volume of disclosure: a prospectus that misrepresents a material fact, a filing that misses a window, or a covenant that conflicts with an exchange's listing rules can derail a transaction at the worst possible moment. The capital markets legal skills in the ThomasMore catalog address that operational reality — drafting offering memoranda sections, mapping ongoing disclosure obligations, screening deal structures against foreign ownership thresholds, and tracking regulatory approval timelines across exchanges and securities authorities in dozens of jurisdictions. Every skill is agent-ready, reachable over MCP or available as a download, so it slots into the workflow a deal team already uses rather than demanding a separate process.
Coverage spans equity and debt issuance, structured products, derivatives documentation, and secondary-market compliance, with jurisdiction-specific skills reflecting the particular exchange rules, national securities statutes, and regulator expectations that govern each market. Authors maintain these contributions as listing requirements are updated and cross-border rules — including directly applicable EU instruments such as the Prospectus Regulation and MAR — continue to develop. Because the collection is organised by jurisdiction as well as by practice area, a lawyer advising on a multi-leg offering can pull a skill for each relevant market without leaving the ThomasMore catalog. Filter by jurisdiction, license, or author above to find the capability your next transaction actually requires.