Market conduct

Market conduct guidance:

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

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

The Market Abuse Regulation established a common regulatory framework on market abuse, as well as measures to prevent market abuse to ensure the integrity of the EU...

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

Please note that the contents of this Practice Note reflect the former market abuse regime in effect in the UK under the Market Abuse Directive (2003/6/EC) (MAD) that was...

Practice Note

Since 2007, the Markets in Financial Instruments Directive (MiFID) had increased competition and innovation, leading to better services and protection for investors in...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

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

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

Please note that the contents of this Practice Note reflect the former market abuse regime in effect in the UK under the Market Abuse Directive (2003/6/EC)...

Practice Note

The Model Code, set out in the Listing Rules published by the Financial Conduct Authority (FCA), was deleted by the FCA as a consequence of the implementation of the...

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

UK regulatory focus on benchmarks From 2009, the UK, EU and international regulators began to investigate suspected widespread misconduct in the setting of the interest...

Practice Note
Trending Topics
In-House COVID-19