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Industry norms
Recommendation no.13

Assessments and Documentation in Capital Raising Processes

https://www.vpff.no/en/bransjenormer/rec-13-assessments-and-documentation-in-capital-raising-processes

Adopted by the Board of the Norwegian Securities Markets Association on January 24, 2023, with effect from the same date.

Audited by the Board of Directors. April 24, 2024.

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Recommendation 1

Recommendation for certain investigations to be performed in the role of a manager/arranger for capital raising transactions in Norway

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Recommendation 2

The investment firm’s acquisition of transferable securities in connection with assignments

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Recommendation 4

Order book information and insider dealing

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Recommendation 5

Guidelines for employees' personal account trading

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Recommendation 8

Customer due diligence in connection with short selling

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Recommendation 10

Handling of certain types of conflict of interest

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Recommendation 11

Recommendation for recording of investment services

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Recommendation 13

Assessments and Documentation in Capital Raising Processes

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