Dealing Procedures Manual

Copyright © 2025 LexisNexis
Published by a LexisNexis Corporate expert
Precedents

Dealing Procedures Manual

Copyright © 2025 LexisNexis

Published by a LexisNexis Corporate expert

Precedents

This precedent memorandum sets out the procedures to be followed by a listed company and its subsidiaries in relation to dealings in the company’s Securities. The purpose of this memorandum is to assist the company to comply with its obligations under the UK Market Abuse Regulation (Assimilated Regulation (EU) 596/2014) and to ensure that the company has the necessary systems and procedures in place to assist persons discharging managerial responsibilities (PDMRs) and other employees of the company and its subsidiaries to comply with their obligations under the company’s Dealing Code and the UK Market Abuse Regulation. This precedent is the product of an industry-led development of codes, guidance and best practice prepared by The Chartered Governance Institute (formerly known as ICSA: The Governance Institute), GC100, the Quoted Companies Alliance and other market participants.

Index

No.ContentPage
Introduction[page number]
Part A—General dealing requirements[page number]
1.Dealings by Restricted Persons[page number]
2.Identifying Restricted Persons[page number]
3.Clearance procedure[page number]
4.Circumstances for refusal[page number]
5.Trading Plans and Investment Programmes[page number]
6.Acting as a trustee[page number]
7.Funds
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Jurisdiction(s):
United Kingdom
Related legal acts:
Key definition:
Securities definition
What does Securities mean?

This is one of the groups of regulated investments defined in the regulated activities order (the other groups being identified as contractually based investments and others).

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