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Journal of Intellectual Property Law & Practice Advance Access originally published online on June 20, 2008
Journal of Intellectual Property Law & Practice 2008 3(8):521-523; doi:10.1093/jiplp/jpn105
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© The Author (2008). Published by Oxford University Press. All rights reserved

IP in investment banking: IP in IPOs

Hidero Niioka *

Legal context: This article looks at current IPOs, convertible bond offerings, trends of the global market, etc. In the context of this capital market trend, important legal issues arise.

Key points: The cases discussed concern IP litigation, civil procedure law, securities law, securities exchange law, and corporate law.

Practical significance: The purpose of this article is to provide a quick overview of how IP law issues can impact upon securities law issues. The article has a high practical relevance for those advising all companies who want to raise funds around the world.

Key Words: IP can play a significant and critical role in various investment banking transactions. • When ‘going IPO’, the company needs to exercise extreme caution regarding their potential exposure to IP issues. • IP litigation can delay or hinder an IPO, which can negatively impact the ability to raise funds for the company on the public market, to make a significant impact on the valuation of the company. • Litigation or other legal actions can necessitate changing the timing of the company going public; inaccurate disclosure of IP issues within the prospectuses can lead to shareholder legal action based on lack of disclosure in the OM; IP litigation may be utilized by competitors to hinder the company from raising money on the public market; even frivolous filings of a complaint can prevent or postpone IPO; in order to avoid such setbacks, public-going companies should exercise the highest care when selecting their financial advisors and attorneys.

* LL.M. (Stanford), Technology, Media, and Telecommunication Investment Banking; Attorney-at-Law admitted in Germany and US (New York); former Research Assistant of Professor Dr Dres.h.c. Joseph Straus at the Max Planck Institute for Intellectual Property, Competition, and Tax Law.


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