Sign-in Help

UK listing regime

View Financial Services by content type:

News
Practice notes
Precedents
Q&As

Latest Financial Services News

ABN Amro to pay €480m to settle Dutch AML penalty

ABN Amro to pay €480m to settle Dutch AML penalty

The following Corporate Crime news provides comprehensive and up to date legal information on ABN Amro to pay €480m to settle Dutch AML penalty

Claims arising from a fraudulent investment scheme resulting in corporate insolvency (Biscoe (as joint liquidators of Equitable Law Capital Ltd) v Milner)

Claims arising from a fraudulent investment scheme resulting in corporate insolvency (Biscoe (as joint liquidators of Equitable Law Capital Ltd) v Milner)

The following Dispute Resolution news provides comprehensive and up to date legal information on Claims arising from a fraudulent investment scheme resulting in corporate insolvency (Biscoe (as joint liquidators of Equitable Law Capital Ltd) v Milner)

HSBC beats £118m Stanford bank Ponzi scheme claim

HSBC beats £118m Stanford bank Ponzi scheme claim

The following Financial Services news provides comprehensive and up to date legal information on HSBC beats £118m Stanford bank Ponzi scheme claim

Financial sanctions guidance shows subtle policy shift

Financial sanctions guidance shows subtle policy shift

The following Corporate Crime news provides comprehensive and up to date legal information on Financial sanctions guidance shows subtle policy shift

Featured Financial Services content

The Money Laundering Reporting Officer (MLRO)—duties

The Money Laundering Reporting Officer (MLRO)—duties

The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...

What is electronic money?

What is electronic money?

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

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...

The Single Rulebook

The Single Rulebook

Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...

Practice notes

Non-UCITS retail schemes (NURS)

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...
Read More >
Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan
Practice notes

Regulatory capital—purpose, quantity and quality

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...
Read More >
Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes

Accepting deposits

This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
Read More >
9th Nov
Practice notes

Basel Accord

The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
Read More >
Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes

Financial Conduct Authority—objectives and principles

The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
Read More >
9th Nov
Practice notes

Consumer protection—FCA and other regulatory requirements

This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
Read More >
9th Nov
Practice notes

Fair and Effective Markets Review (FEMR)—one minute guide

On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
Read More >
9th Nov
Practice notes

UCITS VI

UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
Read More >
Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
Practice notes

European Venture Capital Funds (EuVECA) Regulation

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...
Read More >
9th Nov
Practice notes

Entering into a consumer hire agreement as owner

BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
Read More >
9th Nov
Practice notes

Authorised unit trust authorisation and winding-up

Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
Read More >
9th Nov
Practice notes

Debt sale and purchase agreements

The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
Read More >
9th Nov
tag iconIn-house
Practice notes

Second Wire Transfer Regulation (WTR2)—essentials

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...
Read More >
9th Nov
Practice notes

The impact of Brexit on the MiFID II regime

This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
Read More >
9th Nov
tag iconBrexit
Practice notes

MiFID I—Transaction reporting

This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
Read More >
9th Nov
Practice notes

Impact of Brexit: Solvency II—quick guide

This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
Read More >
9th Nov
tag iconBrexit

Most recent UK listing regime content

Q&As

Why is there a Main Market and a Professional Securities Market on the London Stock Exchange?

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
9th Apr
Practice notes

Listing debt securities in London

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
8th Apr
Q&As

What is the quoted eurobond exemption?

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
8th Apr
Practice notes

Brexit—UK listing and prospectus regime

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...
Read More >
8th Apr
tag iconBrexit
Practice notes

Suspension and cancellation of listing and trading

The Financial Conduct Authority (FCA) has the power, in accordance with the Listing Rules (LRs), to suspend and/or discontinue the listing of any...
Read More >
30th Mar
Practice notes

The Listing Principles and Premium Listing Principles

The Listing Principles (Listing Principles) and the Premium Listing Principles (Premium Listing Principles) (together the Principles) are contained in...
Read More >
25th Mar
Practice notes

Policing and enforcement of the UK Listing Regime

This Practice Note focuses on the policing and enforcement of the UK Listing Regime by the FCA. It covers the FCA’s powers against an issuer in...
Read More >
15th Mar
Practice notes

Requirements for listing on the Official List of the Financial Conduct Authority

This Practice Notice focuses on the two segments of the UK listing regime (standard and premium). It details the general listing requirements (for...
Read More >
15th Mar
Practice notes

Listing Rules—employee share schemes aspects

Brexit: For details of the potential impact of Brexit on the Listing Rules, see Practice Note: Brexit—UK listing and prospectus regime.UK Listings...
Read More >
15th Mar
Q&As

What are the main requirements for a secondary listing on the main market of the London Stock Exchange?

A secondary listing is only available to UK companies with at least 25% of their shares in public hands and where the aggregate market value of all...
Read More >
15th Feb
Q&As

What are the main requirements for a premium or standard listing on the main market of the London Stock Exchange?

The UK listing regime has two listing segments: standard and premium, each of which is divided into a number of categories. A company must comply with...
Read More >
15th Feb

Popular documents

LEXISNEXIS

Escrow accounts and escrow agreements

This Practice Note examines why parties involved in a construction project may enter into an escrow agreement (or escrow deed) to set up an escrow account. It looks at the benefits of paying funds into escrow, how an escrow account operates and the provisions typically found in an escrow

LEXISNEXIS

Term Loan B facilities

This Practice Note discusses Term Loan B (TLB) facilities which frequently appear as a tranche of senior facilities in syndicated loans in leveraged financings. TLBs are an established feature in the US market and increasingly used in the European lending market for institutional investors.This

LEXISNEXIS

Transferred malice

The principle of transferred maliceIf a person has a malicious intent towards X and, in carrying out that intent, injures Y, he is guilty of an offence. So, if D shoots at A with intent to kill him but kills B by mistake it is murder; the mistake as to the identity of the victim is irrelevant as D

LEXISNEXIS

What is a statutory declaration of solvency, and what happens if a false declaration of solvency is made

Statutory declaration of solvencyA company enters voluntary liquidation when the members of the company vote to do so by a special resolution. For more information, see Practice Note: What is a members' voluntary liquidation (MVL) and where/when is it typically used?Before the members can vote on a