Legal Issues in Corporate Finance and Investments Training Course

Course overview

Raising money is a legal act as much as a financial one. What you may say to whom, what must be disclosed, who may invest, how the instrument is structured, and what happens if the projections turn out to be wrong: every one of these is governed by rules that carry personal as well as corporate consequences.

This course covers the legal dimension of corporate finance across five units: corporate finance law, securities and investment regulation, fundraising compliance, contracts and transaction structures, and cross-border finance. It is educational and is not legal or financial advice; transactions require qualified counsel.

The rules exist because of what happened before them

Disclosure obligations, prospectus requirements, insider dealing prohibitions and investor protection rules were each written after a specific failure in which investors lost money because someone knew something they did not. Understanding that history makes the rules considerably easier to apply, because the question in any ambiguous case becomes: does this create the information asymmetry the rule exists to prevent.

It also explains why regulators react so sharply to selective disclosure, to projections presented as facts, and to instruments sold to people who could not have understood them.

What you will be able to do afterwards

By the end of the course, participants will be able to:

• Explain the legal framework governing share and debt issuance.
• Assess director liability as a company nears insolvency.
• Identify market abuse exposure in ordinary corporate activity.
• Distinguish exempt offerings from public-offer triggers.
• Sequence the compliance steps from private placement to public offer.
• Specify verification steps that reduce liability exposure.
• Negotiate anti-dilution and preference terms for ordinary holders.
• Draft protective provisions for minority investors.
• Map cross-border withholding, enforcement and sanctions risk.

Course outline

Unit 1: Introduction to corporate finance law

• Legal personality, share capital, and classes of security.
• Directors' duties in financing and duties to creditors.
• Financial assistance, capital maintenance, and distributions.
• Counsel, auditors, and advisers in a financing transaction.

Unit 2: Securities and investment regulations

• Prospectus requirements, exemptions, and offer thresholds.
• Continuous and selective disclosure for listed issuers.
• Insider dealing and market abuse: conduct and surveillance.
• Investor classification, suitability, and retail protection.

Unit 3: Fundraising and capital raising compliance

• Private placements, rights issues, and public offerings.
• Due diligence and offering-document liability.
• Marketing restrictions: content and pre-marketing rules.
• Forward-looking statements and safe harbor conditions.

Unit 4: Contracts and transaction structures

• Subscription and shareholder agreements: control rights.
• Liquidation preferences and anti-dilution for holders.
• Loan agreements: covenants, events of default, and security.
• Warranties and indemnities in investment transactions.

Unit 5: Cross-border finance and future trends

• Jurisdiction, governing law, and cross-border enforcement.
• Withholding taxes and treaty relief structuring.
• Sanctions and financial crime checks at investor onboarding.
• Digital assets and tokenized securities: regulatory gaps.

How the course is delivered

The course works from real transaction documents, prospectuses, enforcement actions and disputed financings. Participants read the terms, identify the exposure and argue the structuring decisions in discussion. The course is educational and is not legal or financial advice; it does not certify participants, and any transaction requires qualified counsel. Participants who want the financial mechanics should look at Capital Markets and Investment Banking.

Who should attend

• Corporate finance professionals and in-house counsel.
• CFOs and finance managers involved in raising capital.
• Investors, fund staff and corporate development professionals.
• Compliance officers covering securities and investment activity.

About EuroQuest International Training

EuroQuest International Training was founded in 2015 by a team with more than 25 years of experience in professional development. We deliver over 1,000 courses and have trained more than 15,000 participants, from our head office in Bratislava, Slovakia, with hubs in Dubai, London, Barcelona, Istanbul, Vienna, Paris and Geneva. Courses are developed and reviewed by practitioners from the fields they teach.

Frequently asked questions

Do I need a legal background?

No. The course is built for finance professionals who must work within the rules, with legal concepts explained through the transactions they govern.

Which securities regime does it follow?

It works from principles common across major markets, using specific regimes as illustrations. Your own regulatory requirements must be confirmed with qualified counsel.

Is this legal advice?

No. It is educational and is not legal or financial advice. Any actual transaction requires qualified counsel from the start.

Related courses

• Corporate Finance and Capital Budgeting
• Legal Risk Management for Executives
• Navigating Compliance in Financial Markets
• Tax Law and Corporate Financial Compliance

Register for this course

Choose a city and date from the schedule above to register, or contact EuroQuest about in-house delivery for a finance or legal team.