UK and EU equity capital markets regulation (general)

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Practice notes
A company’s constitutionWhat is a company's constitution?A company’s 'constitution' is defined under the Companies Act 2006 (CA 2006) as...
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19th May
Practice notes
Shareholder resolutionsThe agreement of the members of a company is required to make certain changes to a company, such as amending its constitution,...
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19th May
Practice notes
Directors’ decision-making—written resolutions and decisions by sole directorsThis Practice Note outlines the written resolution method directors may...
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19th May
Practice notes
Redemption of shares—procedureThis Practice Note describes the procedure for a limited company to carry out redemption of its redeemable...
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19th May
Practice notes
The Duomatic principleThe principle definedCompany decisions are made by way of resolutions of the shareholders. There are three ways in which a...
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Produced in partnership with Philip Hinks of 3 Verulam Buildings (3VB) 19th May
Practice notes
Continuing obligations—vote holder and issuer notification rules (DTR 5)This Practice Note focuses on the notification obligations of holders of...
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19th May
Practice notes
The effect of a private company redemption of shares, including post-redemption stepsCoronavirus (COVID-19): Following the coronavirus (COVID-19)...
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19th May
Practice notes
Acting in concertProduced with input from Rebecca Cousin of Slaughter and May on market practice.This Practice Note summarises the rules and guidance...
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19th May
Practice notes
General meetings—notice requirements for private and unlisted public companiesA general meeting must satisfy certain requirements set out in the...
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19th May
Practice notes
Drafting and negotiating ancillary documents in a share purchase transactionThis Practice Note is part of the Share purchase transaction toolkit.In...
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19th May
Practice notes
Break fees—share purchaseThe nature and purpose of break feesBreak fees are generally designed to compensate one party’s legal and professional costs...
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19th May
Practice notes
Substantial property transactions—requirement to obtain members’ approvalThe Companies Act 2006 (CA 2006) contains provisions that restrict and...
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19th May
Practice notes
Company restoration—restoration by court orderWhy restore a company to the register?When a company has been struck off it may be possible for an...
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19th May
Practice notes
Matters reserved for the boardThe UK Corporate Governance Code (UKCG Code) of the Financial Reporting Council (FRC) sets out standards of good...
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19th May
Precedents
Project [insert project name]Prepared for [Insert addressee name][Insert date of report]INDEXReportA. IntroductionB. Executive summaryC. Detailed...
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19th May
Practice notes
Unregistered companiesWhat is an unregistered company?An unregistered company is a rare form of incorporated company that is not formed or registered...
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19th May

Most recent UK and EU equity capital markets regulation (general) content

Practice notes
The Prospectus Regulation—is a prospectus required?IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
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14th Jun
Practice notes
The Capital Markets UnionIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into...
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14th Jun
Practice notes
The UK implementation of the Market Abuse RegulationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 5th Jun
Practice notes
The regulation of crowdfunding platforms—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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5th Jun
Practice notes
Market Abuse Regulation (MAR)—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation,...
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5th Jun
Practice notes
MiFID I, MiFID II and MiFIR—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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5th Jun
Practice notes
Financial Services and Markets Act 2000—essentialsThe principal role of the Financial Services and Markets Act 2000 (FSMA 2000) was to establish and...
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5th Jun
Practice notes
The financial promotion regime—essentialsWhat is the financial promotion regime?The term ‘financial promotion’ is not used in the Financial Services...
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5th Jun
Precedents
Disclaimer for communications made to and/or directed at investment professionals and/or high net worth entities in the United KingdomThis [insert...
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5th Jun
Practice notes
The impact of the Financial Services Act 2012 on functions relating to listing [Archived]ARCHIVED: This Practice Note has been archived and is not...
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5th Jun
Practice notes
The Transparency DirectiveThis Practice Note provides an overview of the implementation of and key changes introduced by the EU Transparency Directive...
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5th Jun
Precedents
Disclaimer for communications made to and/or directed at overseas persons, investment professionals and high net worth entitiesThis [insert document...
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5th Jun
Practice notes
Guide to the European Securities and Markets Authority (ESMA)This Practice Note focuses on the membership, role and processes of the European...
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5th Jun
Practice notes
The Prospectus Regulation—essentialsIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period...
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4th Jun

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