Continuing obligations

Continuing obligations guidance:

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

A company admitted to trading on AIM (AIM company) must comply with a number of rules called continuing obligations contained in the AIM Rules for Companies (AIM Rules)...

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 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

The corporate governance framework The principal framework for corporate governance in the UK is the UK Corporate Governance Code (UKCG Code). Under the Listing Rules and...

Practice Note

This archived Practice Note summarised the key developments that were expected to impact the corporate governance regime during 2017. It has not been updated since 2017....

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

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

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

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

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

[On headed notepaper of issuer] Strictly private and confidential To: [insert name of the person discharging managerial responsibility] [insert address of the person...

Precedents

[On headed notepaper of PDMR] Strictly private and confidential To: [insert name of person closely associated with the PDMR] [insert address of person closely associated...

Precedents

This Practice Note covers the issues that a public company will need to consider in an acquisition or disposal of assets, in addition to those where both buyer and seller...

Practice Note

The issues raised in this practice note apply to companies whose shares have a standard or premium listing on the Official List of the Financial Conduct Authority (FCA)...

Practice Note

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note

BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

Practice Note

This Practice Note provides an overview of the offence of insider dealing as prescribed by the Market Abuse Regulation (EU) 596/2014 (Market Abuse Regulation). Brexit...

Practice Note

Strictly private and confidential Wall-crossed investor script We are contacting you to discuss a potential [description of the nature of the securities to be offered (ie...

Precedents

What is the definition of a market sounding? Recital 32 and Article 11(1) of the Market Abuse Regulation set out the definition of 'market sounding' as the communication...

Practice Note