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Conducting Due Diligence in a Securities Offering

Author(s): Valerie Ford Jacob, Stephanie Goldstein, Fried Frank
Practice Area: Communications/Telecommunications Law, Corporate & Securities, Employee Benefits, International Law
Published: Apr 2009
Supplement Date: Aug 2013 i Other versions can be found in the Related Items tab.
ISBN: 978402411663
PLI Item #: 20900

Conducting Due Diligence in a Securities Offering provides you with clear, step-by-step legal and procedural information that helps attorneys conduct thorough investigations of a company’s records and executives prior to an acquisition — and reduce the potential for legal problems down the road.

Featuring case histories that illustrate proper due diligence techniques, this practical guide instructs on gathering necessary information under tight deadlines, using, for example, in-person and telephone interviews, background searches, detailed questionnaires, and outside investigators. The book examines typical due diligence mistakes and ways to avoid them.

Conducting Due Diligence in a Securities Offering is a crucial resource for attorneys, accountants, auditors, corporate executives, and securities professionals.
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Valerie Ford Jacob is the Chairperson of Fried, Frank, Harris, Shriver & Jacobson LLP and also serves as the head of the firm’s global Capital Markets Group. Ms. Jacob acts as counsel to both issuers and underwriters in domestic and international financings and represents her clients in all types of securities offerings, including initial public offerings, secondary offerings, high-yield offerings, mezzanine and bridge financings, investment-grade debt offerings, acquisition financings, and recapitalizations. She also counsels corporations on corporate governance and securities regulation.

Ms. Jacob is consistently recognized by Chambers Global: The World’s Leading Lawyers for Business and Chambers USA: America’s Leading Lawyers for Business as a leading individual in Capital Markets: Debt and Equity, and is consistently recognized by Legal 500 in Capital Markets—Equity Offerings—Advice to Managers (leading lawyer) and Capital Markets—High-Yield Debt Offerings (leading lawyer). Ms. Jacob was also named one of the “45 Top Lawyers Under 45” by The American Lawyer in 1995. She received her JD from Cornell Law School in 1978 and her BS from Boston University in 1975. She is admitted to the bar in New York.

Stephanie J. Goldstein is a litigation partner resident in Fried Frank’s New York office. Ms. Goldstein’s practice is focused on commercial, securities and corporate governance matters. She regularly practices in trial and appellate courts throughout the country, as well as in arbitration proceedings.

Ms. Goldstein is recognized by Benchmark: Litigation as a “Local Litigation Star.” She received her JD, summa cum laude, from the Benjamin N. Cardozo School of Law in 1992, where she was an editor of the Cardozo Law Review. She received her BA, magna cum laude, from Brandeis University in 1989. She is admitted to practice in New York.