Market abuse and market conduct

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Practice notes
A guide to share purchase agreementsThis Practice Note provides an overview of the agreement for the sale and purchase of shares in a private limited...
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19th May
Practice notes
De facto and shadow directorsDefinition of 'director'The Companies Act 2006 (CA 2006) broadly defines a director as 'any person occupying the position...
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19th May
Practice notes
Schemes of arrangement—procedureProduced with input from Rebecca Cousin of Slaughter and May on market practice.This Practice Note looks at the...
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19th May
Practice notes
Sale of treasury sharesA limited company may hold, or deal with, shares in itself, if certain conditions set out in the Companies Act 2006 (CA 2006)...
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19th May
Q&As
What is the definition of body corporate as used in s 1159 of the Companies Act 2006?Section 1159 of the Companies Act 2006 (CA 2006), for the...
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19th May
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
Protection of minority members—a quick guideA minority member in a company does not have much power to influence its management or any majority...
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19th May
Practice notes
Payments for a director’s loss of officeThe Companies Act 2006 (CA 2006) contains provisions relating to payments made by a company to a director as...
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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
Tailoring a shelf companyA person wishing to set up a new company has the following options:•they can incorporate a new company in accordance with the...
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19th May
Practice notes
G20/OECD Principles of Corporate GovernanceThis Practice Note discusses the Principles of Corporate Governance (Principles) published by the Group of...
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Produced in partnership with Professor Brenda Hannigan of University of Southampton 19th May
Practice notes
The Prospectus Regulation—key changes in comparison to the Prospectus Directive regimeThis Practice Note provides an overview of the implementation of...
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19th May
Practice notes
Insider listsThis Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope...
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19th May
Q&As
What is the process for a redesignation of shares?This Q&A examines how a company may carry out a redesignation of shares, meaning a change in the...
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19th May
Q&As
Is it possible to make a manuscript amendment to the consideration clause of a stock transfer form after signature?The correct process to be followed...
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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

Most recent Market abuse and market conduct content

Practice notes
Market Abuse—pre Market Abuse Regulation [Archived]This Practice Note is archived as is not maintained. This Practice Note provides an overview of the...
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17th Jun
Practice notes
Insider dealingFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021 (FSA 2021) increases the maximum sentence for insider dealing...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 9th Jun
Q&As
Does the insider dealing offence in the Market Abuse Regulation apply to off market transactions?The prohibition against insider dealing is set out in...
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5th Jun
Practice notes
Listing Rules—employee share schemes aspectsBrexit: For details of the potential impact of Brexit on the Listing Rules, see Practice Note: Brexit—UK...
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5th Jun
Practice notes
Share incentives aspects of MAR and related guidanceFORTHCOMING CHANGE: The Financial Services Act 2021, which comes into force in stages, includes...
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5th Jun
Practice notes
Different types of short sellingBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Orrick, Herrington & Sutcliffe 5th Jun
Practice notes
Quick Look Brexit Financial Services Legislation Status Guide—Market Abuse RegulationThis Quick Look Brexit Financial Services Legislation Status...
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5th Jun
Practice notes
Market Abuse Regulation (MAR)—one minute guideWhat is the objective of the EU Market Abuse Regulation and UK Market Abuse Regulation?The Market Abuse...
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5th Jun
Practice notes
The Model Code—share dealings provisions [Archived]ARCHIVED: This archived Practice Note provides background reading on the Model Code and is for...
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5th 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
Misleading statements, misleading impressions and market manipulationPart 7 of the Financial Services Act 2012The Financial Services Act 2012 (FSA...
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5th Jun
Practice notes
The EU Short Selling regulationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Orrick, Herrington & Sutcliffe 5th Jun
Practice notes
An introduction to short sellingBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Orrick, Herrington & Sutcliffe 5th Jun
Practice notes
Market Abuse Regulation—unlawful disclosure of inside information and market soundings—quick guideThis Practice Note provides a quick guide to the key...
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5th Jun
Practice notes
Market Abuse Regulation (MAR)—level 2 and level 3 measuresBREXIT: 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
Directive 2014/57/EU on criminal sanctions for market abuseBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Ms Alison Geary of WilmerHale 5th Jun
Practice notes
Misleading impressions under the Financial Services Act 2012IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
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5th Jun
Practice notes
Financial crime in the financial services sectorIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
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5th Jun
Practice notes
Continuing obligations—disclosure and control of 'inside information'This Practice Note considers the obligations regarding the disclosure and control...
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5th Jun

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