Listing definition

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Establishing a share incentive plan (SIP) and granting SIP awards—all-encompassing resource pack

Establishing a share incentive plan (SIP) and granting SIP awards—all-encompassing resource pack For more general information on share incentive plans (SIPs), see Practice Note: What is a share incentive plan? Step Details of step Lexis®PSL resources required to implement step Timing of step 1 Determine whether the company qualifies to operate a SIP. The SIP regime is prescriptive and sets out numerous requirements that must be met at the time the awards are granted, including in relation to the company granting the awards. It is essential to establish whether the company whose shares are being granted under award qualifies to operate a SIP first. The proposed award holder(s) must also meet certain requirements in order to be granted SIP awards. For further detailed information on the SIP eligibility requirements relating to the company, see Practice Note: SIPs—qualifying companies and type of shares. For further detailed information on the SIP eligibility requirements relating to the employee, see Practice Note: SIPs—who can be granted an award? For a checklist...

Listing requirements and continuing obligations—premium listing and standard listing—prior to 29 July 2024

Listing requirements and continuing obligations—premium listing and standard listing—prior to 29 July 2024 A significant restructuring of the UK listing regime came into effect on 29 July 2024 which included the removal of the premium and standard listing segments and the creation of a single listing category for equity shares in commercial companies. The commercial companies category is heavily disclosure-based and sits alongside other listing categories such as the shell companies, secondary listing and closed ended investment fund categories.  The UK Listing Rules sourcebook came into force to implement the changes and the Listing Rules sourcebook was revoked. For further information see Practice Note: Reform of the UK listing regime—fundamentals. This checklist reflects the listing regime prior to 29 July 2024 and has been retained for reference purposes. This checklist compares the listing requirements and key continuing obligations that previously applied to a commercial company with a listing of equity securities on the premium and standard listing segments prior to 29 July 2024. Requirements for listing—prior to 29 July 2024...

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Listed company share buybacks (on-market)—flowchart

Listed company share buybacks (on-market)—flowchart STOP PRESS: A significant restructuring of the UK listing regime came into effect on 29 July 2024, which included the removal of the premium and standard listing segments and the creation of a single listing category for equity shares in commercial companies. The commercial companies category is heavily disclosure-based and sits alongside other listing categories

UK design infringement action—flowchart

UK design infringement action—flowchart This Flowchart provides an overview of a UK design infringement action. The specific right relied on could be one of the following design rights which coexist in the UK: • UK registered designs (including re-registered designs) • UK unregistered designs (sometimes referred to as ‘design right’) • supplementary unregistered designs For more information about these rights, see Practice Note: UK registered and unregistered designs. Stage 1—preparing to bring a claim and pre-action matters Claim preparation and pre-action matters—Practice Notes • Infringement of UK registered and unregistered designs • Design disputes—a practical guide • How to run an IP dispute • Copyright in designs • Types of dispute resolution • IP and mediation • IP and arbitration • UK Intellectual Property Office—mediation scheme • Disclosure scheme—when and where it applies Claim preparation and pre-action matters—Precedent • Disclosure Scheme timetable—checklist Claim preparation and pre-action matters—Forms • Application for injunction • Application notice • Notice of hearing of application Stage 2—Letter before action alleging infringement Letter before...

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Preparing for the auditors—in-house lawyers

Preparing for the auditors—in-house lawyers One of the key dates in your organisation’s calendar is the date of the annual audit. An important part of the auditors’ role is to ensure that your organisation’s processes are fit for purpose. Central to that is your organisation’s approach to legal matters and legal risk. As an in-house lawyer, you need to prepare for the auditors’ visit because inevitably they will want to meet with you. While each audit firm has its own standard set of questions for in-house lawyers, the questions tend to follow certain themes, eg: • your risk register • litigation • applicable law and regulation • contracts • intellectual property (IP) • legal work process • your knowledge and experience Since joining your organisation, you have hopefully had the opportunity to meet with the key directors and heads of function. Those meetings will have given you the opportunity to find out more about many of the issues the auditors will be interested in. See Practice...

Skeleton Arguments in an appeal—general provisions

Skeleton Arguments in an appeal—general provisions This Practice Note contains guidance to the provisions contained within CPR 52, CPR PD 52A, CPR PD 52B and CPR PD 52C. It provides general guidance on skeleton arguments in appeals to the County Court, the High Court and the Court of Appeal. For more information on the scope of this content, see: Civil appeals: general and preliminary considerations—overview. Practitioners may also wish to refer to the following Practice Notes and Checklists: • Skeleton arguments • Starting an appeal in the Court of Appeal—Skeleton arguments • Responding to an appellant's notice—the written statement and respondent's notice—Respondent's skeleton arguments and supplementary skeleton arguments • Conducting an appeal in the County Court or the High Court—Filing skeleton arguments in appeals in the High Court or County Court • Skeleton argument—checklist • Civil contempt proceedings—appeals, purges and discharge • Supreme Court—documents for appeal hearing—on or after 2 December 2024 In addition to all and any relevant CPR provisions, practitioners should also comply with any provisions in...

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Settlement agreement additional clauses—agreed announcement

1 [ Reference and Announcements 1.1 The Employer will, on receipt of a written request from a prospective employer, provide a reference [in the form set out in Schedule [insert Schedule number] OR in the Employer's standard form]. 1.2 [The Employer agrees to deal with oral enquiries about you from prospective employers in a manner which is consistent with the text of the reference referred to in clause 1.1.] 1.3 All announcements, statements or releases of information concerning your departure from the Employer [will be OR have been]

Phantom share option agreement

Phantom share option agreement This AGREEMENT is made on [insert date of execution of the phantom share option agreement] Parties 1 [insert name of company whose shares are relevant to the phantom option] (registered number [insert registered number of company]) whose registered office is at [insert registered address of company] (the Company); and 2 [insert name of option holder] of [insert address of option holder] (the Option Holder) Background (A) The Company has agreed to grant to the Option Holder as at the date of this Agreement a Phantom Option on the terms set out in this Agreement. (B) The Phantom Option provides an entitlement to cash and not shares. 1 Definitions In this Agreement, except where the context otherwise requires, the words and expressions set out below will bear the following meanings, namely: Cash Payment • means the cash sum payable on the exercise of the Phantom Option, which shall be calculated in accordance with clause 6.2; Control • has the meaning given...

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What procedure must a listed company follow to offer a DRIP?

What procedure must a listed company follow to offer a DRIP? A dividend re-investment plan (DRIP) allows a shareholder to receive shares in a company as an alternative to receiving a cash dividend. If a shareholder agrees to participate in a DRIP, when the company next declares a cash dividend it applies that dividend to buy existing shares in the market on behalf of the shareholder. A DRIP is similar to a scrip (or stock) dividend scheme in that they both allow a participating shareholder to acquire further shares in a company in lieu of a cash dividend. A scrip dividend, however, involves the issue of new shares in the company to the participating shareholder, who foregoes the cash payment they would otherwise receive, rather than the purchase of shares in the market. For more information on the law relating to scrip dividends and the procedure to be followed if one is to be offered, see Practice Note: Scrip dividends. A listed company that wishes to...

Can a senior manager join a trade union or try to create a union?

Can a senior manager join a trade union or try to create a union? This response considers: • the individual’s rights under the Trade Union and Labour Relations (Consolidation) Act 1992 (TULR(C)A 1992) not to be refused membership by a trade union • an overview of the general considerations involved in establishing a trade union, in particular relating to independence, and • the protection from detriment or dismissal by the employer Right not to be refused membership Under TULR(C)A 1992, s 174, an individual may only be excluded (ie refused membership) or expelled from a trade union where: • they do not satisfy an enforceable membership requirement in the union’s rules, or • they do not qualify for membership because the union only operates in a particular part of Great Britain, or • they are not employed by a particular employer, in the case of a union which exists to regulate relations between its members and a particular employer (or particular associated employers), or • the exclusion or...

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Minutes of the CPR Committee meeting—9 May 2025

The minutes of the CPR Committee (CPRC) meeting of 9 May 2025 (conducted in a hybrid format at The Rolls Building (Royal Courts of Justice) and via video conference) cover a number of issues including digital markets regulation, statutory appeals, fixed recoverable costs, parole referrals, Welsh language provisions, and public engagement through a question forum.

Banking and Finance weekly highlights—12 June 2025

This week's edition of Banking and Finance weekly highlights includes: (1) the Law Commission launches a consultation on reforms to private international law in the context of digital assets and electronic trade documents; (2) ISDA publishes position paper on Commission's proposed sustainability omnibus package; and (3) the European Commission launches free sanctions compliance helpdesk for SMEs.

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74 The official list

(1)     The [FCA] must maintain the official list.(2)     The [FCA] may admit to the official list such securities and other things as it considers appropriate.(3)     But—(a)     nothing may be admitted to the official list except in accordance with this Part; and(b)     the Treasury may by order provide that anything which falls within a description or category specified in the order may not be admitted to the official list.(4)     . . .(5)     In the following provisions of this Part—. . .“listing” means being included in the official list in accordance with this Part.