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Course description

Course description

Capital Markets Trends and Compliance

William Jannace, a Wall Street veteran and now professor at Fordham School of Law, affiliated with the Fletcher Network for Sovereign Wealth and Capital, and lecturer at the Wharton School of Business, has created a unique 2-day seminar covering the trends in global capital markets including Private IPOs/Unicorns, Fintech such as P2P, and Crowdfunding. 

The legal and regulatory structure governing capital raising in the United States including registered and exempt offerings in light of the JOBS Act. Private placements under Regulation D and other exempt offerings made under Regulations A and S, resales under 144 and 144A, ADRs/ GDRs, PIPES, 144A IPOs, exchange offers an DPPs will also be discussed.  

Who should attend?

If you need to understand how to raise capital, or are an entrepreneur considering a new business, someone aspiring to work in capital markets, working in capital markets seeking to expand his or her knowledge, an owner of a private company considering tapping the capital markets, compliance personnel, or just want to broaden your expertise on these critical trends, this is the seminar.

It is not aimed at financial engineers looking for hedging and trading strategies, but for those professionals seeking to expand their knowledge with insights and practical guidance, such as board members, or senior management of private companies.

Training Content

  • Background
  • IPO Pricing and Valuation
  • Exempt Offerings
  • Regulation S
  • Regulation A


Participants of this program will receive 14 CPE credits.


The cost of this program is $1695. Inquire for more details.

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Financial Markets World

Financial Markets World - Leading Financial Training

Financial Markets World (FMW) is a leading provider of financial training to the global financial community. FMW offers cutting-edge training courses that cover the breadth of the global financial services industry, and address current industry requirements. All of FMW's training...

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