Market abuse

Market abuse guidance:

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 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 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 Market Abuse Directive (2003/6/EC, commonly referred to as 'MAD') was adopted in 2003 and established a legal framework throughout the European Union (EU)...

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

The law relating to insider dealing is contained in Part V of the Criminal Justice Act 1993 (CJA 1993). The offences contained in CJA 1993 are criminal offences and exist...

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

[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

Brexit: For details of the potential impact of Brexit on the Listing Rules, see Practice Note: Brexit—UK listing and prospectus regime. Introduction to the Listing Rules...

Practice Note

Brexit impact The operation of the UK market abuse regime may be affected by Brexit. For further details on this and other changes impacted by Brexit, see The Market...

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

The Market Abuse Directive 2003/6/EC (MAD) entered into force on 12 April 2003 and established an European Union (EU) wide regime for dealing with insider trading and...

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

Insider dealing and market manipulation can constitute market abuse. In the UK, there are two distinct regimes running alongside each other which regulate and enforce...

Practice Note

Misleading impressions—elements of the offence The Financial Services Act 2012 (FSA 2012) creates an offence of misleading impressions where formerly under section 397 of...

Practice Note

Offences relating to financial services The Financial Services Act 2012 (FSA 2012) created three offences relating to market manipulation where formerly under section 397...

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: For details of the potential impact of Brexit on the continued operation of MAR in the UK, see Practice Note: Brexit—UK listing and prospectus regime—Key areas of...

Practice Note

This Precedent is a memorandum that sets out the details of the ‘specimen’ dealing code. The specimen dealing code is the product of an industry-led development of codes,...

Precedents

This Precedent memorandum sets out the details of the ‘specimen’ group-wide dealing policy. The specimen group-wide dealing policy is the product of an industry-led...

Precedents

This Practice Note considers the nature and purpose of stabilisation, the process of stabilisation, the potential offences that may arise when carrying out stabilisation...

Practice Note

This Practice Note considers the process of stabilisation prior to 3rd July 2016 (the date on which the Market Abuse Regulation came into force), including the potential...

Practice Note
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