Overview
In an increasingly competitive and tightly regulated capital markets environment, capital raising through the securities market requires sophisticated legal advice grounded in regulatory expertise, market practice, and applicable legal standards. Nhat Nam Law LLC provides specialized legal advisory services in securities and capital markets, advising public companies, private companies, securities firms, fund management companies, and financial institutions on accessing and participating in Vietnam’s capital markets. We assist clients in structuring capital markets transactions in compliance with sector-specific regulations, managing legal risks, and ensuring the legality, validity, and enforceability of securities transactions.
Scope of services
Our Securities and Capital Markets Services include:
Equity Capital Markets and Listings
- Advising on initial public offerings (IPOs), public company registration, and the listing of shares on Vietnamese stock exchanges, including HOSE, HNX, and UPCoM;
- Advising on private placements, capital increases, rights offerings to existing shareholders, and share issuances under employee stock ownership plans (ESOPs);
- Advising on the issuance of convertible securities, warrants, and other structured or hybrid equity instruments.
Debt Capital Markets and Bonds
- Advising on the structuring and documentation of corporate bond issuances, including private placements and public offerings;
- Providing specialized advice on convertible bonds, exchangeable bonds, and secured bond structures;
- Assisting with registration, depository, and listing procedures for bonds on the trading systems of the stock exchanges.
Governance, Regulatory Compliance, and Legal Opinions
- Advising on the establishment, licensing, and operation of securities companies, fund management companies, and domestic and foreign investment funds;
- Advising public companies on corporate governance, information disclosure obligations, internal risk management, and ongoing compliance with regulations of the State Securities Commission;
- Conducting legal due diligence and issuing independent legal opinions in connection with securities offerings and capital markets transactions.
Key contacts
How can we help?
Contact our team to discuss your legal needs in Vietnam.