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FCA Publishes Final UK Listing Rules

The UK Financial Conduct Authority (FCA) published a policy statement (PS24/6) on 11 July 2024 setting out the final policy position and UK listing rules (final rules) for a new, simplified and more competitive UK listing...more

Takeover Panel Proposes to Refocus Takeover Code on Companies Registered and Listed in the UK

On 24 April 2024, the UK’s Takeover Panel proposed reforms aimed to narrow the scope of companies to which the Takeover Code applies. The Panel suggests establishing a core principle that only companies that are, or were...more

5/1/2024  /  Capital Markets , Nasdaq , NYSE , UK

FCA Consults Further on the New UK Listing Regime

The Financial Conduct Authority (FCA) published a consultation paper on 20 December 2023 (CP23/31), setting out its proposals to reform the UK listing regime with reference to feedback received in previous consultations....more

Top 10 Considerations for Management in a UK IPO

The UK Financial Conduct Authority (FCA) is consulting on wide-ranging changes to the UK listing regime which would replace the current standard and premium listing categories with a single listing category. In this post, we...more

PEG Releases New Statement of Principles for the Disapplication of Pre-Emption Rights

On 4 November 2022, the UK Pre-Emption Group (PEG) issued a new Statement of Principles on disapplying pre-emption rights and associated template resolutions. The Statement of Principles has been revised with immediate effect...more

11/29/2022  /  Investors , Shareholders , UK , UK Companies Acts

FPI Board Diversity

Does Board Diversity Mean the Same Thing Worldwide? Now that Nasdaq’s board diversity matrix disclosure deadline has arrived, foreign private issuers (FPIs) and companies considering US initial public offerings are...more

HM Treasury Publishes UK Prospectus Regime Review Outcome

Background - On 1 July 2021, HM Treasury published a consultation on the UK prospectus regime (the UK Prospectus Regime Review). In the UK Prospectus Regime Review, the UK government considered that there was a significant...more

UK Financial Conduct Authority Changes Listing Rules to Boost Growth and Innovation

On 2 December 2021, the UK Financial Conduct Authority (FCA) confirmed a series of rule changes designed to remove immediate barriers to listing, make its rulebooks more accessible, and protect and enhance market integrity....more

Alert: UK’s FCA Consults on Proposed Changes to the Listing Rules Relating to SPACs

The Financial Conduct Authority (FCA) has launched a consultation on proposed changes to its Listing Rules for certain special purpose acquisition companies (SPACs). The proposed changes to the rules around SPACs were...more

Alert: UK Listings Review: Lord Hill’s Recommendations on the UK Listing Regime

On 3 March 2021, as the Chancellor of the Exchequer prepared to unveil his budget to take Britain out of lockdown and reawaken the UK economy, Lord Hill of Oareford published a long-awaited review of the UK listing regime...more

Alert: London Markets China-Based Companies Should Consider for Listing Securities

The UK offers a range of markets that companies based in the People's Republic of China (PRC) might consider as venues for a primary or secondary listing of their equity securities. This alert provides an overview of the...more

Blog: London Listings for People’s Republic of China (PRC) Companies

The United Kingdom (UK) offers a range of markets that companies in the People’s Republic of China (PRC) might consider as venues for a primary or secondary listing of their equity securities....more

Blog: 25 Considerations in Preparing for an IPO in the UK

1. Selecting a stock exchange or market - Understand the benefits of the alternative listing options, such as the premium or standard segments of the Main Market or the AIM market of the London Stock Exchange, which are...more

Alert: UK Financial Conduct Authority Updates on COVID-19 Issues for Listed Companies

On 27 May 2020, the FCA in the UK published a newsletter outlining its continuing expectations of issuers in the UK on market conduct and transaction reporting issues. The FCA also published a Primary Market Bulletin...more

Alert: Directors’ Duties in England and Wales Amid COVID-19

Directors need to consider how to comply with their existing obligations and respond effectively to the challenges posed by COVID-19. This update provides a high-level overview of the issues and some practical considerations...more

Alert: FRC Updates Company Guidance on Reporting Exceptional or Similar Items and Alternative Performance Measures

On May 20, the Financial Reporting Council (FRC) published an updated version of its guidance for companies on corporate governance and reporting during the COVID-19 crisis to include new sections on exceptional or similar...more

Alert: ESMA Issues Public Statement on Implications of COVID-19 Pandemic on Half-Yearly Financials

On May 20, 2020, the European Securities and Markets Authority issued a public statement on the impact of the COVID-19 pandemic on the half-yearly financials of listed issuers. In particular, ESMA addressed the preparation of...more

Alert: FRC Updates Corporate Governance and Reporting Guidance to include Interim Reports

On 12 May 2020, the Financial Reporting Council (FRC) published an updated version of its guidance for companies on corporate governance and reporting during the COVID-19 pandemic to include a new section on interim...more

Alert: FCA publishes ‘Dear CEO’ letter to ensure fair treatment of corporate customers

On April 28, 2020, the Financial Conduct Authority (FCA) published a “Dear CEO” letter on ensuring the fair treatment of corporate customers preparing to raise equity finance. The FCA expects financial services firms to...more

Alert: UK Financial Reporting Council Publishes Updated Guidance on Modifications of Audit Opinions and Reports

In its March guidance for auditors, the UK Financial Reporting Council (FRC) recognised the practical difficulties some companies and auditors are facing in preparing accounts and carrying out audits. The FRC highlighted the...more

Alert: ESMA Issues COVID-19 Q&A on Alternative Performance Measures

On April 17, 2020, the European Securities and Markets Authority (ESMA) provided guidance on the application of alternative performance measures (APMs) in the context of the COVID-19 pandemic by issuing Q&A 18 on its...more

Alert: UK FCA Publishes Policy on Recapitalisation Issuances by Listed Companies During COVID-19 Crisis

The UK Financial Conduct Authority (FCA) published a policy statement and two associated technical supplements on April 8, 2020, announcing a series of measures aimed at assisting companies to raise new share capital in...more

Alert: UK Pre-Emption Group Provides Temporary Additional Flexibility for Pre-Emption Disapplication Authorities

The UK Pre-Emption Group (PEG) issued a statement, published on April 1, 2020, regarding its expectations for non-pre-emptive issues by companies listed in the UK in the context of the coronavirus pandemic....more

Alert: COVID-19 Updates for UK + European Capital Markets: FCA, FRC + PRA Joint Statement, AIM Guidance and ESMA Public Statement

In light of the COVID-19 pandemic, several key updates for UK and European capital markets have recently been released, focusing primarily on financial reporting, including a joint statement by the Financial Conduct Authority...more

Alert: UK Financial Reporting Season:UK Financial Reporting Council Publishes Guidance for Auditors on Audit Issues

On 16 March 2020, the UK Financial Reporting Council (FRC) issued updated guidance for auditors which may be facing practical difficulties in carrying out audits as a result of the COVID-19 pandemic....more

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