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This video discusses the Rule 10b-5 due diligence process that law firms must engage in to support the giving of a Rule 10b-5 disclosure letter for certain capital markets transactions which include sales in the US.
This video covers the following topics:
– The due diligence process.
– How the process ties in with the UK verification process.
– The banks’ and accountancy firms’ due diligence.
– The importance of the due diligence underpinning the 10b-5 disclosure letter.