---
title: "Capital Markets & Securities — ECM/DCM and Disclosure: precedents"
url: "https://ailawframework.com/precedents/capital-markets-and-securities-ecm-dcm-and-disclosure"
type: "precedent_area"
site: "AI Law Framework"
area_id: "A4"
precedent_count: 6
last_reviewed: "2026-10-17"
---

# Capital Markets & Securities — ECM/DCM and Disclosure: precedents

> 6 starting-point precedents for Capital Markets & Securities — ECM/DCM and Disclosure, each with the law behind it and how far AI may help.

Canonical page: https://ailawframework.com/precedents/capital-markets-and-securities-ecm-dcm-and-disclosure  
Last reviewed: 2026-10-17

Site index for agents: https://ailawframework.com/llms.txt

## Precedents

| Precedent | Kind | Jurisdictions | AI level | Summary | Law stated as at |
| --- | --- | --- | --- | --- | --- |
| [Continuous disclosure policy and disclosure committee charter](https://ailawframework.com/precedents/capital-markets-and-securities-ecm-dcm-and-disclosure/continuous-disclosure-policy.md) | Policy | Australia, New Zealand, United Kingdom (England and Wales) | Yellow | Board-approved continuous disclosure policy for an ASX-listed entity, with a disclosure committee charter and a disclosure decision record.… | 2026-10-17 |
| [Trading halt request letter to ASX](https://ailawframework.com/precedents/capital-markets-and-securities-ecm-dcm-and-disclosure/trading-halt-request-letter.md) | Letter | Australia | Red | Request to ASX for a trading halt under Listing Rule 17.1 covering each matter the rule requires, with a voluntary suspension variant and a run sheet for the decision and lodgement. | 2026-10-17 |
| [Due diligence planning memorandum and verification protocol for a prospectus](https://ailawframework.com/precedents/capital-markets-and-securities-ecm-dcm-and-disclosure/due-diligence-planning-memorandum.md) | Memo | Australia | Yellow | Memo establishing the due diligence committee, scope, materiality thresholds, inquiry process, expert and director sign-offs, and verification protocol for an Australian prospectus, so the s 731 and… | 2026-10-17 |
| [Checklist for AI-assisted verification of offer and disclosure documents](https://ailawframework.com/precedents/capital-markets-and-securities-ecm-dcm-and-disclosure/ai-assisted-verification-checklist.md) | Checklist | Australia | Yellow | Step-by-step controls for using an AI tool to match statements in a prospectus or other disclosure document to source material, so that AI speeds verification without weakening the due diligence… | 2026-10-17 |
| [Securities trading policy (closed periods, clearance, exceptions)](https://ailawframework.com/precedents/capital-markets-and-securities-ecm-dcm-and-disclosure/securities-trading-policy.md) | Policy | Australia | Green | ASX-compliant securities trading policy covering every matter Listing Rule 12.12 requires, plus insider trading, hedging, margin loans, director notifications and trading plans, with a clearance… | 2026-10-17 |
| [Review checklist for AI-related statements in disclosure documents and annual reports ('AI washing')](https://ailawframework.com/precedents/capital-markets-and-securities-ecm-dcm-and-disclosure/ai-washing-review-checklist.md) | Checklist | Australia, United States | Yellow | Checklist for testing every statement an issuer makes about its use of AI against evidence, covering capability, performance, revenue, governance and risk-factor claims, with the Australian… | 2026-10-17 |

The area's guidance on AI use: [Capital Markets & Securities — ECM/DCM and Disclosure](https://ailawframework.com/practice/capital-markets-and-securities-ecm-dcm-and-disclosure.md). All areas: [Precedents](https://ailawframework.com/precedents.md).

*Practice guidance for planning and review. Confirm current primary sources and the requirements of the actual matter. This is general information, not legal advice.*