Our Capital Markets Practice offers efficient, and prompt legal advice based on the expertise of its members. Based on the demand for various types of structured finance products from clients, our Capital Markets Practice has been closely involved in finding practical solutions to the financing needs of the clients by providing advice on the securities-related regulations. By taking advantage of our expertise in other practices such as Litigation & Arbitration Department and Tax Department, we have been able to provide comprehensive legal service to the client.

Our Capital Markets Practice has provided legal advice to both issuers and underwriters in connection with their IPOs on the Vietnam Exchange.  Such issuers range from large financial institutions to start-up companies in the IT sector.

Our Capital Markets Practice has advised several clients in connection with secondary market transactions such as the sale and purchase of shares through block trades and other financing transactions involving the pledge of shares.  In addition, our practice has provided legal advice on various structured finance products including transactions involving complex derivatives.

Initial Public Offerings in VietNam
We provide legal advice to issuers and underwriters in connection with Vietnamese companies’ initial public offerings to list their shares on the VietNam Exchange, including IPOs with an international tranche to make offers to overseas investors.  Our clients include issuers ranging from large financial institutions and industrial companies to start-up companies in the IT and bio-related industries.  We also advise underwriters in IPOs, including global investment banking companies and Vietnamese securities firms.  We also advise issuers and underwriters in connection with the listing of international companies’ securities (in the form of depositary shares) on the VietNam Exchange.
Foreign Stock Exchange Listings
We advise Vietnamese clients for the listing of their equity securities on overseas stock exchanges in the form of shares or depositary shares representing the underlying shares and in connection with initial public offerings or other forms of offerings.  We also provide advice on concurrent dual-listings on both the VietNam Exchange (in the form of shares) and an overseas stock exchange (in the form of depositary shares representing underlying shares).  We worked on all of the four concurrent dual-listings of VietNam issuers to date.
Block Trades and Derivatives
We advise a range of clients in connection with their secondary market transactions, including sales or purchases of shares by way of block trades and their financing transactions involving share pledges.  We also provide legal advice relating to various structured finance products, including transactions involving complex financial derivatives.


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