Continuing obligations

Continuing obligations guidance:

This Resource Note outlines the overlap between the Disclosure Guidance and Transparency Rules (DTR) and the 2016 UK Corporate Governance Code (the UKCG Code or Code),...

Practice Note

This Resource Note looks at the section of the 2016 UK Corporate Governance Code (2016 UKCG Code) which explains the 'comply or explain' concept and its application and...

Practice Note

This Resource Note outlines the main provisions of Schedule A of the 2016 UK Corporate Governance Code (UKCG Code), on 'The Design of Performance-Related Remuneration for...

Practice Note

This Resource Note outlines the main provisions of Schedule B of the 2016 UK Corporate Governance Code (UKCG Code), on 'Disclosure of Corporate Governance Arrangements',...

Practice Note

This Resource Note outlines the main provisions of Section A of the 2016 UK Corporate Governance Code (UKCG Code), on 'Leadership', and highlights relevant third party...

Practice Note

This Resource Note outlines the main provisions of Section B of the UK Corporate Governance Code (UKCG Code), on 'Effectiveness', and highlights relevant third party...

Practice Note

This Resource Note outlines the main provisions of Section C of the 2016 UK Corporate Governance Code (UKCG Code), on 'Accountability', and highlights relevant third...

Practice Note

This Resource Note outlines the main provisions of Section D of the 2016 UK Corporate Governance Code (UKCG Code), on 'Remuneration', and highlights relevant third party...

Practice Note

This Resource Note outlines the main provisions of Section E of the 2016 UK Corporate Governance Code (UKCG Code), on 'Relations with Shareholders', and highlights...

Practice Note

This Practice Note summarises the law relating to the steps involved in preparing, identifying recipients and sending a notice of an annual general meeting (AGM). It...

Practice Note

At 11pm UK time on 31 January 2020 (exit day), the United Kingdom left the European Union in accordance with a ratified Withdrawal Agreement between the UK and the EU....

Practice Note

Checklist and record—clearance to deal request by PDMR or director Using this checklist and record: On receipt of a clearance to deal request from a person discharging...

Precedents

This document provides accessible practical guidance and links to more comprehensive content in relation to class 1 transactions undertaken by UK companies with a premium...

Practice Note

This Practice Note focuses on the continuing obligations of an issuer of depositary receipts where such issuer is listed on the Official List of the Financial Conduct...

Practice Note

This Practice Note considers the obligations regarding the disclosure and control of inside information under the Market Abuse Regulation (EU) No 596/2014 (Market Abuse...

Practice Note

This Practice Note gives a general overview of the financial reporting obligations of a listed company as regards financial reporting under the Listing Rules and the...

Practice Note

This Practice Note focuses on the disclosures required in respect of transactions by a person discharging managerial responsibility (PDMR) and persons closely associated...

Practice Note

This Practice Note focuses on the notification obligations of holders and issuers of interests in voting rights in an issuer whose shares are admitted to trading on a...

Practice Note

This precedent memorandum sets out the procedures to be followed by a listed company and its subsidiaries in relation to dealings in company securities. The purpose of...

Precedents

Background The remuneration of quoted company executive directors is subject to greater shareholder, media and political scrutiny than ever before. In addition to the...

Practice Note

This Practice Note outlines the regulatory framework for remuneration of directors of quoted and unquoted traded companies against the current backdrop of increased...

Practice Note

When a listed company or an AIM company wishes to declare and pay dividends to its shareholders, it has to comply with the provisions of the Companies Act 2006 (CA 2006)....

Practice Note

Brexit impact The operation of the UK listing and prospectus regime may be affected by Brexit. In particular for the purposes of this note, changes to reflect the UK’s...

Practice Note

The Financial Services and Markets Act 2000 (FSMA 2000) creates a range of criminal and civil/regulatory offences. For further information on civil/regulatory breaches...

Practice Note

This Practice Note summarises the law relating to the steps involved in preparing, identifying recipients and sending a notice of general meeting. It covers the form and...

Practice Note

This Practice Note summarises the law, guidelines and market practice in relation to holding a general meeting. It is suitable for use by both practitioners and company...

Practice Note

This Practice Note summarises the law, guidelines and market practice relating to the holding of an annual general meeting (AGM). It is suitable for use by both...

Practice Note

Insider dealing is the use of sensitive or privileged information that has not yet been released to the public to take advantage of the market. When someone in possession...

Practice Note

This Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope of the Market Abuse Regulation...

Practice Note

Article 18(1) of the Market Abuse Regulation (EU) No 596/2014 (Market Abuse Regulation) provides that an issuer or any person acting on an issuer’s behalf or account must...

Precedents
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