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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. Modified June 23, 2026.

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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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