TOPI

C..
PROSPECTU
S
 Subject:
Corpor
atelegal
Envi
ronment
 Submi
ttedTo:Mrs.Ani
taTewari
 Pr
esented
By
:Sonal
iSi
ngh(
MBA
TWOYEARTHI RD
SEMESTER)
FLOW OFPRESENTATI
ON

•Meaningof Prospectus.
•Howpr ospectuswor ks??
•Twomaj ortypesof Prospectus.
•Keyfeatur
esof Prospect
us.
•El
ement sofPr ospectus.
•Document srequi r
edf or
Prospectus.
•Speci
alconsider at
ions.
•Conclusi
on.
WhatI
saPr
ospect
us?
 Apr ospectusi saf or
mal documentthati
srequir
edbyand
fi
ledwi t
ht heSecur it
iesandExchangeCommi ssi
on(SEC)
thatprov i
desdet ai
lsaboutaninvestmentoff
eri
ngtothe
public.Apr ospectusi sf
il
edforoff
eri
ngsofstocks,
bonds,
andmut ualfunds.

 Thedocumentcanhelpinvestorsmakemor ei
nformed
i
nvestmentdeci
sionsbecauseitcont
ainsahostof
rel
evanti
nfor
mationabouttheinvest
mentsecur
ity
.
HowaPr
ospect
usWor
ks?
?

 Compani esthatwishtoofferbondorst ockfor

saletothepublicmustfil
eapr ospectuswiththe
Securi
tiesandExchangeCommi ssionaspar tof
theregist
rati
onprocess.Compani esmustf i
lea
prel
iminaryandf i
nalpr
ospectus,andtheSEChas
specif
icguideli
nesastowhat '
slistedinthe
prospectusforvari
oussecuri
ti
es.
Pr
eli
minar
yPr
ospect
us.
.
I
tisthefi
rstoffer
ingdocumentprov i
dedbyasecur i
ty
i
ssuerandincludesmostoft hedetail
softhebusinessand
tr
ansacti
on.Howev er,
thepreli
minaryprospect
usdoesn't
contai
nthenumberofshar estobei ssuedorpri
ce
i
nformati
on.

 Fi
nal
Prospect
us.
.
I
tcontainsthecompletedetail
softheinvest
mentofferi
ng
tothepubli
c.Thef i
nalprospect
usincl
udesanyf i
nal
i
zed
backgr
oundi nfor
mat i
on,aswellasthenumberofshar es
orcert
if
icatestobeissuedandt heoff
eringpr
ice.
KEYFEATURESOFPROSPECTUS..
 TheSecuri
ti
esandExchangeCommi ssi
onrequi
resthat
secur
it
yissuersfi
leaprospect
uswhenoff
eri
nginvest
ment
secur
it
iestothepubl
ic.

 Theprospect
uspr
ovidesdet
ail
saboutt
hei
nvest
ment
secur
it
yandtheof
fer
ing.

 Amut ualf
undprospectuscont
ainsdetai
lsoninv
est
ment
objectiv
es,st
rat
egies,per
for
mance,distr
ibut
ionpol
i
cy,
fees,andfundmanagement .

 Ther i
sksofthei
nvest
mentaretypi
cal
l
ydi
scl
osedearl
yin
theprospect
usandthenexpl
ainedi
nmoredet
ail
lat
erin
thedocument.
ELEMENTSOFAPROSPECTUS.
.

Apr
ospect
usi
ncl
udessomeoft
hef
oll
owi
ngi
nfor
mat
ion:

1
.Abr iefsummar yofthecompany ’sbackgroundand
f
inancial
inf
ormat i
on.
2
.Thenameoft hecompanyi ssuingt hest
ock.
3
.Thenumberof shares.
4
.Ty peofsecuriti
esbei ngoff
ered.
5
.Whet heranof feri
ngi spubli
cor priv
ate.
6
.Namesoft hecompany ’
spri
ncipals.
7
.Namesoft hebanksorf inanci
al compani esper
for
ming
t
heunderwriti
ng.
Document
sRequi
red.
.

•Document
srequi
redt
obeat
tachedt
othePr
ospect
us:
1.Consentofexper
trequir
edundersect
ion55ofCompanies
Act.
2.I
nthecaseofapr ospectusi
ssuedgeneral
l
yit
requi
res.
.
Ac opyofcontr
act
sreagardingr
emuner
ati
onofChi
ef
Executi
veetc.
.Andincaseofanunwri
tt
encont
ract
,a
memor andum r
equi
redther
eof.
Areportf
rom theaudit
orsr
egardi
nganyadjustmentt
oasset
s
andli
abil
i
tiesofthecompanyandreasont
hereof
T hironna.
tioni
nlhi
prospect
uinotcompl
eteandmab echs.
nc·
ed.
1h.
ispr
o§J)
ectu.
sisnot
aooff
erLose.
l
Jthese
,
ecnr i
ti
.
esa.
od
nci
thr
rwr n
: ort
he:e .
Uingtock hol
dt"nar
e-soli
cit
ingofTert
l\t obu- thes.
rV" Cur
iti
e1ina n yjur
Hd i
cti
.onwh eret
heor
rcror.alinot
permi
rred.

PROP£CTUCubj
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i
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tri
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Face.
book.I
nc.
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fer
ing27.
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tsOas al
eofs haresbythelings:t
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oceed

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share.

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ospect s1
usi n.
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e r
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P. ORG
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REDI
TUJ HB T
 DRD HARTRED PLPRJAFFRAY

.2013
Speci
alConsi
der
ati
ons.
.

 Anotherreasonapr ospectusisi
ssuedi stoinform
i
nvestorsoft heri
sksinvolvedwi
thinvestinginthesecur
it
y
orfund.Althoughacompanymi ghtber ai
singcapital
thr
oughst ockorbondi ssuance,i
nvestorsshouldstudyt
he
fi
nancial
soft hecompanyt oensurethecompanyi s
fi
nancial
lyv i
ableenoughtohonoritscommi tments.

 Risksar etypical
lydisclosedear lyintheprospect
usand
describedi nmor edetaillater.
Theageoft hecompany ,
managementexper ience, management '
sinvol
vementinthe
business, andcapitali
zationoft hest ocki
ssuerarealso
described.Thepr ospect usi nf
ormat i
onalsoguardsthe
i
ssuingcompanyagai nstclaimst hatpert
inenti
nfor
mat i
on
wasnotf ull
ydisclosed.
 CONCLUSI
ON…
 TheCompani esAct , 2013definesapr ospect usundersect ion
2(70).Prospect uscanbedef i
nedas“ anydocumentwhi chis
describedori ssuedasapr ospect us”.Thisalsoi ncludesany
notice,ci
rcular,
adv er ti
sementoranyot herdocumentact i
ng
asani nvitati
ont oof fersfrom thepubl ic.Suchani nvit
ationto
offershoul dbef ort hepurchaseofanysecur i
tiesofa
corporatebody .
 Prospectusi samandat orydocumentf orli
mi tedorganizati
on
tocommencet heirbusi ness,buti tscompl icatedpr ocedure
delaystheoper at i
onofanybusi ness, t
herefor eanumberof
organizati
onshesi t atetoissuePr ospect ust ogener alpublic
forsubscr i
ptionof secur i
ti
es.