Compliance and Competition

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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Brexit—exiting the EU under Article 50 [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains...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 Compliance and Competition content

Q&As
In the context of Brexit, what is meant by the ‘transition or implementation period’?The term ‘transition or implementation period’ is used in the...
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28th Jun
Q&As
What is an employer’s lawful ground for processing when moving from paper to electronic payslips?Practice Note: Processing personal data—lawful...
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Produced in partnership with David Green of 12 King’s Bench Walk 5th Jun
Q&As
Is there a moral obligation for an organisation with a total turnover less than £36m to publish a slavery and human trafficking statement on its...
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5th Jun
Q&As
Do I have to establish the source of funds for every transaction?This Q&A reflects the Money Laundering, Terrorist Financing and Transfer of Funds...
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5th Jun
Q&As
Who can certify identification documents (passports, driving licence, utility bills, etc)?Government guidance on Certifying a document states:'To...
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5th Jun
Q&As
What does Brexit mean for cybercrime and cybersecurity?The UK has left the EU on the basis of the Withdrawal Agreement as implemented in the European...
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5th Jun
Q&As
What does Brexit mean for financial sanctions?The UK has left the EU on the basis of the Withdrawal Agreement as implemented in the European Union...
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5th Jun
Q&As
If a company self-reports a corrupt transaction but withholds details of other incidences of bribery, will the SFO give them the benefit of having...
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5th Jun
Q&As
On what basis can a local authority issue a simple caution to an individual and does it include the power to seek the reasonable costs of conducting...
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5th Jun
Q&As
When is an agency agreement a true agency agreement for the purposes of competition law?There are several ways in which a supplier can get its product...
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5th Jun
Q&As
Is it an offence for a person to submit a cheque in the knowledge that the cheque cannot be honoured due to sufficient funds?False representation...
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5th Jun
Q&As
How are state aid rules applied in respect of public service broadcasting?There are sector specific rules in relation to state aid and broadcasting....
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5th Jun
Q&As
How can you appeal an abatement notice served for a statutory nuisance under section 80 of the Environmental Protection Act 1990?For the purposes of...
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5th Jun
Q&As
Does an employer have a duty to report crimes committed by its employees?There is no general obligation placed on individuals or organisations to...
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5th Jun
Q&As
How do regulators decide if licensing is according to FRAND terms? Purpose of FRAND termsOccasionally, companies involved in high-tech industries...
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5th Jun
Q&As
Are trade unions that advise their members not to agree to terms which the union considers to be insufficiently favourable to their members breaching...
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5th Jun
Q&As
Can a non-exclusive distributor appointed to a territory be prevented from selling outside that territory?In this Q&A we are referring to restrictions...
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5th Jun
Q&As
What’s the impact of failing to obtain a valid consent under the GDPR? Can you use a privacy notice to make up for a defect in such a...
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5th Jun
Q&As
If two or more competitors in the same industry entered into a joint venture which was approved under the EU Merger Regulation, how would their...
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4th Jun

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