Building on a strong foundation of more than 170 years of legal service, Carter Ledyard & Milburn LLP offers its domestic and international clients sophisticated legal advice. Our Initial Public Offering and Securities Practice – Asia Pacific Practice group assists clients with Asia Pacific connections in initial public offerings, Special Purpose Acquisition Vehicles (SPAC) and de-SPAC transactions, Securities and Exchange Commission (SEC) Act of 1934 (’34 Act) periodic reporting and financing transactions.
The process for companies with Asia Pacific connections to conduct an Initial Public Offering (IPO) in the United States is complex and involves navigating stringent U.S. regulatory and reporting standards,
At Carter Ledyard, we are particularly knowledgeable and focused on setting up our clients for success listing in the U.S. markets, even despite increased scrutiny. Our firm’s unique experience in assisting clients with Asia Pacific connections enables us to anticipate and resolve issues before they become problems, looking out for the specific challenges that these IPOs and follow-on offerings tend to present. Our Initial Public Offering and Securities Practice – Asia Pacific practice lawyers work closely with our Cross Border team and look at the best course of success for our clients’ unique situations. We staff leanly, offer extensive industry expertise, and provide a fully integrated platform of corporate, IP, governance, fund formation, corporate finance, litigation and arbitration, real estate, trusts & estates, and tax advice to our clients.
The Initial Public Offering and Securities Practice – Asia Pacific Practice is led by Pang Zhang-Whitaker, an experienced lawyer with law degrees and practice experience from both the U.S. and China. Ms. Zhang-Whitaker represents middle market enterprises and smaller reporting companies from different industry sectors in their capital markets and securities matters. With a full-service New York law firm providing an integrated platform of legal services to our Asia-Pac clients, our multidisciplinary cross-border team is uniquely positioned to deliver world-class legal services and business success to our clients.
Read more about our Asia Pacific Cross-Border Practice here.
Recent Representative Matters
Our Initial Public Offering and Securities Practice – Asia Pacific Practice group lawyers have represented both the issuers and the underwriters in capital markets and securities matters involving clients from the region, including the following:
Initial Public Offerings
Represented Issuers in:
- Canadian smart farming solution service provider’s IPO on NASDAQ.
- Chinese information technology service and products provider’s IPO on NASDAQ.
- U.S. vehicle export business operator’s IPO on NASDAQ.
- U.S. micro dramas production company’s IPO on NASDAQ.
- Canadian agricultural service provider’s IPO on NASDAQ.
- U.S. chemical technology company’s IPO on NASDAQ.
- U.S. transformers and electrical equipment’s IPO on NASDAQ.
- Chinese pharmaceutical manufacturer and distributor’s IPO on NASDAQ.
- U.S. biotech company’s IPO on NASDAQ.
- Hong Kong information technology solution provider’s IPO on NASDAQ.
Represented Underwriters in:
- Chinese agriculture company’s IPO on NASDAQ.
- Chinese logistics solution provider’s IPO on NASDAQ.
- A warehousing and logistics service provider’s IPO on NASDAQ.
Public Company Transactions
- Leading healthcare products and services provider in Asia, in its stock purchase agreement to acquire three private hospitals in Asia.
- Asia-based public company in its majority investment in a NYSE listed U.S. electronic car manufacturer.
- Top financial investment conglomerate headquartered in Asia in an attempted acquisition of a NASDAQ listed mutual fund investment adviser.
- NASDAQ listed company in acquisition of five hospitals in Asia.
- NASDAQ listed company in acquisition of two medical device and drug wholesalers in Asia.
- NASDAQ listed company in acquisition of pharmacy chain stores in Asia.
- NASDAQ listed company in acquisition of equity interests of a hotel located in Asia.
- Asia-based client in executing a change of control of a NASDAQ traded company by changing the composition of its Board of Directors, by the rarely-used mechanism of obtaining the written consent of a majority of the company’s shareholders.
- NASDAQ listed company in acquisition of land development business in the U.S.
- NASDAQ listed company in acquisition of a software development company in the United Arab Emirates.
- NASDAQ listed company in acquisition of delivery service provider in the U.S.
- Malaysian stock exchange (Bursa Malaysia) traded company in listing its American Depository Receipts on OTCQB.
- Routinely represent U.S. public companies in their S-1/F-1, S-3/F-3, Reg D, Reg S, S-8, PIPE and private placement transactions.
- Routinely represent U.S. public companies in their ongoing SEC public disclosure and compliance matters.