Listed company compliance

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Practice notes
Form of transfer of sharesThere are a number of circumstances in which shares in a company may be transferred, eg upon a sale of the shares, through...
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19th May
Practice notes
Removal of a directorThis note should be read in conjunction with Practice Note: Appointment, retirement and resignation of a director.For an...
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19th May
Practice notes
The Quoted Companies Alliance (QCA) Corporate Governance CodeThe Quoted Companies Alliance (QCA) is an independent membership organisation that...
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19th May
Practice notes
Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...
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Produced in partnership with Adam Cygan of University of Leicester 19th May
Practice notes
Disclosure Guidance and Transparency Rules requirements—the annual financial reportThis Practice Note discusses the requirements of the Disclosure...
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Produced in partnership with Tessa Park of Moore Kingston Smith 19th May
Practice notes
DTR Resource Note—DTR 5—Vote Holder and Issuer Notification RulesThis Resource Note outlines the main provisions of Chapter 5 of the Disclosure...
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19th May
Practice notes
Redemption of shares—procedureThis Practice Note describes the procedure for a limited company to carry out redemption of its redeemable...
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19th May
Practice notes
Supervision of traineesThe requirements when supervising trainees derive from the SRA Codes of Conduct and the SRA’s specific regulatory requirements...
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19th May
Practice notes
Tailoring a shelf companyA person wishing to set up a new company has the following options:•they can incorporate a new company in accordance with the...
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19th May
Practice notes
Insider listsThis Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope...
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19th May
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
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Produced in partnership with Dr. Kieran Laird of Gowling WLG 19th May
Q&As
Corporate redomiciliation—can a non-UK company redomicile into the UK?It is possible for a non-UK incorporated company to redomicile to the UK....
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19th May
Practice notes
Quasi-loans to directors, connected persons and related arrangements—requirement to obtain members’ approvalThe Companies Act 2006 (CA 2006) contains...
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19th May
Practice notes
Substantial property transactions—requirement to obtain members’ approvalThe Companies Act 2006 (CA 2006) contains provisions that restrict and...
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19th May
Practice notes
Matters reserved for the boardThe UK Corporate Governance Code (UKCG Code) of the Financial Reporting Council (FRC) sets out standards of good...
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19th May
Practice notes
Getting the Deal Through: Merger Control 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Albania; Australia; Austria;...
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19th May

Most recent Listed company compliance 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
LR Resource Note—LR 9—Continuing obligationsThis Resource Note highlights relevant materials, commentary, analysis and resources to assist with the...
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22nd Jul
Practice notes
LR Resource Note—LR 10—Significant transactions: Premium listingThis Resource Note highlights relevant commentary, analysis and resources to assist...
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22nd Jul
Practice notes
LR Resource Note—LR 11—Related party transactions: Premium listingThis Resource Note highlights relevant commentary, analysis and resources to assist...
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22nd Jul
Practice notes
LR Resource Note—LR 15—Closed-Ended Investment Funds: Premium listingThis Resource Note highlights relevant commentary, analysis and resources to...
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22nd Jul
Practice notes
LR Resource Note—LR 5—Suspending, cancelling and restoring listing and reverse takeovers: All securitiesThis Resource Note highlights relevant...
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22nd Jul
Practice notes
LR Resource Note—LR 2—Requirements for listing: All securitiesThis Resource Note highlights relevant commentary, analysis and resources to assist with...
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22nd Jul
Practice notes
LR Resource Note—LR 8—Sponsors—Premium listingThis Resource Note highlights relevant commentary, analysis and resources to assist with the...
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22nd Jul
Practice notes
LR Resource Note—LR 6—Requirements for premium listing: Commercial companyThis Resource Note highlights relevant commentary, analysis and resources to...
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21st Jul
Practice notes
Dividends—listed and AIM companiesCoronavirus (COVID-19): Following the coronavirus (COVID-19) outbreak, the London Stock Exchange released a notice...
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20th Jul
Practice notes
Continuing obligations of an AIM companyA company admitted to trading on AIM (AIM company) must comply with a number of rules called continuing...
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7th Jul
Practice notes
Admission to AIM—requirementsA company applying for admission to trading on AIM (AIM admission) must meet the requirements of the AIM Rules for...
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7th Jul
Practice notes
Insider listsThis Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope...
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1st Jul
Precedents
Letter—non-executive director appointment[To be typed on Company headed notepaper, including the company number]Private & Confidential[Enter name and...
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25th Jun
Practice notes
Company secretarial resourcesThis Practice Note provides a navigational guide and further links to the company secretarial resources available within...
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18th Jun
Precedents
Timetable—initial listing on the Official List and admission to the Main MarketThis precedent timetable is for a company undertaking an IPO of equity...
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16th Jun
Precedents
Board minutes to convene AGM of listed company[insert company name] PLCMinutes of a meeting of the board of directors of [insert full name of company]...
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8th Jun
Precedents
Board minutes to convene a general meeting of a listed public company[insert company name] PLCMinutes of a meeting of the board of directors of...
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8th Jun
Precedents
Board minutes to appoint single or multiple corporate representative(s)—AGM of listed public company[insert company name] [LIMITED OR PLC]Minutes of a...
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8th Jun
Precedents
Board minutes to appoint single or multiple corporate representative(s)—general meeting of listed public company[insert company name] [LIMITED OR...
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8th Jun

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