UK listing regime

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Practice notes
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...
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19th May
Practice notes
Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 19th May
Practice notes
FCA—APR controlled functions for benchmark administrators and appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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19th May
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
Practice notes
PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
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19th May
Practice notes
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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19th May
Practice notes
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Regulatory capital—purpose, quantity and qualityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Morrison & Foerster 19th May

Most recent UK listing regime content

Practice notes
Requirements for listing on the Official List of the Financial Conduct AuthorityThis Practice Notice focuses on the two segments of the UK listing...
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22nd Jul
Practice notes
Listing debt securities in LondonLondon Stock Exchange market structureThe London Stock Exchange (LSE) has three principal markets for listing debt...
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9th Jul
Practice notes
Brexit—UK listing and prospectus regimeAt 11pm UK time on 31 January 2020 (exit day), the United Kingdom left the European Union in accordance with a...
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29th Jun
Practice notes
The Listing Principles and Premium Listing PrinciplesThe Listing Principles (Listing Principles) and the Premium Listing Principles (Premium Listing...
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16th Jun
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...
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14th Jun
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...
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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
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...
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5th Jun
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...
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5th Jun
Practice notes
Policing and enforcement of the UK Listing RegimeThis Practice Note focuses on the policing and enforcement of the UK Listing Regime by the FCA. It...
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5th Jun
Practice notes
Suspension and cancellation of listing and tradingThe Financial Conduct Authority (FCA) has the power, in accordance with the Listing Rules (LRs), to...
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5th Jun

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