27 March 2020: The Financial Conduct Authority (FCA), Financial Reporting Council (FRC), Prudential Regulation Authority (PRA) and the European Securities and Markets Authority (ESMA) have announced a series of actions to...more
6/1/2020
/ Capital Markets ,
Coronavirus/COVID-19 ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Reporting ,
Financial Reporting Council (FRC) ,
Investment ,
Prudential Regulation Authority (PRA) ,
Publicly-Traded Companies ,
Relief Measures ,
UK
The Financial Conduct Authority (FCA), Financial Reporting Council (FRC), Prudential Regulation Authority (PRA) and the European Securities and Markets Authority (ESMA) have announced a series of actions to ensure information...more
For obvious reasons, the finer points of the functioning and regulation of the UK's capital markets and corporate governance are not necessarily at the forefront of the minds of legislators and policy makers while addressing...more
The events surrounding the Brexit negotiations continue to be in a state of flux - but we do have some clarity around the status of the Prospectus Regulation in the UK whatever the outcome of the UK Government's negotiations...more
A Hogan Lovells client note discussing the conflicts of interests duties imposed on directors by the Companies Act 2006.
...more
A client note providing an introduction to the main duties which directors of UK companies owe to their company under the Companies Act 2006.
...more
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law.
...more
9/26/2018
/ AIM ,
Corporate Governance ,
Disclosure Requirements ,
Disney ,
Enforcement Actions ,
Financial Markets ,
Financial Transactions ,
Initial Public Offering (IPO) ,
Insolvency ,
London Stock Exchange ,
New Guidance ,
Regulatory Standards ,
Shareholder Rights ,
Takeover Bids ,
UK
New guidance on how unconnected analysts can participate in the UK IPO process and access information from prospective issuers (Guidance) has been published by the Association for Financial Markets in Europe (AFME) and the...more
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. ...more
7/12/2018
/ AIM ,
Capital Markets ,
Corporate Governance ,
EU Prospectus Regime ,
Financial Conduct Authority (FCA) ,
Foreign Investment ,
Human Rights ,
London Stock Exchange ,
MiFID II ,
MLD5 ,
Natural Resources ,
Premium Listed Issuers ,
Reporting Requirements ,
UK ,
UK Brexit
From 1 July 2018, sovereign controlled companies will be able to admit their securities to listing on a new dedicated category of the FCA's premium listing regime....more
Proposed reforms for SME Growth Markets -
On 24 May 2018, the Commission published a proposal for a regulation which seeks to make technical amendments to certain provisions of the Market Abuse Regulation and the...more
6/8/2018
/ Capital Markets ,
Corporate Governance ,
Corporate Liability ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
MiFID II ,
MLD5 ,
Money Laundering ,
Parent Corporation ,
PDMR ,
Small and Medium-Sized Enterprises (SMEs) ,
Subsidiaries
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law.
...more
5/4/2018
/ Conversion ,
Corporate Governance ,
Doing Business ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
International Relations ,
Investment ,
London Stock Exchange ,
Money Laundering ,
Prospectus Regulation (PR3) ,
Regulatory Standards ,
Risk Management ,
Shareholder Rights ,
UK
The London Stock Exchange (LSE) has announced that its new AIM Rules for Companies (AIM Rules) and AIM Rules for Nominated Advisers (Nomad Rules) will come into force on 30 March 2018. ...more
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law.
...more
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law....more
1/23/2018
/ AIM ,
Capital Markets ,
Corporate Governance ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
EU Prospectus Regime ,
European Commission ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Regulatory Oversight ,
RTS ,
Small and Medium-Sized Enterprises (SMEs)
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. ...more
12/19/2017
/ AIM ,
Corporate Governance ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Listing Rules ,
MiFID II ,
Regulatory Oversight ,
Small and Medium-Sized Enterprises (SMEs) ,
Takeovers ,
UK
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law.
...more
11/7/2017
/ AIM ,
Corporate Governance ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
EU Prospectus Regime ,
European Securities and Markets Authority (ESMA) ,
Financial Conduct Authority (FCA) ,
Financial Markets ,
Financial Transactions ,
Initial Public Offering (IPO) ,
Legal Entity Identifiers ,
Listing Standards ,
London Stock Exchange ,
Market Abuse ,
MiFID II ,
Regulatory Standards ,
Takeovers ,
UK
A monthly newsletter covering topics of interest in the field of UK corporate law including mergers and acquisitions, listed companies, equity capital markets, corporate governance and general company law. This month's...more
FCA proposes a new premium listing category for sovereign controlled companies -
On 13 July 2017, the Financial Conduct Authority published consultation paper CP 17/21 which proposes to create a new premium listing...more
From 6 April 2016, UK companies have been required to maintain a register of persons with significant control over them (a “PSC register”). This requirement is intended to increase the transparency of corporate ownership, by...more
On 27 June 2017, the Financial Conduct Authority (FCA) published its Policy Statement PS17/13 'Investment and corporate banking: prohibition of restrictive contractual clauses' which sets out new rules banning the use of...more
FCA bans firms' use of restrictive contractual clauses for future primary market services -
On 27 June 2017, the Financial Conduct Authority (FCA) published its Policy Statement PS17/13 'Investment and corporate banking:...more
7/10/2017
/ Capital Markets ,
Capital Markets Union ,
Contract Terms ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
European Commission ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
MLD4 ,
Person with Significant Control (PSC Register) ,
Prospectus ,
Standard Contractual Clauses
The New Prospectus Regulation ((EU) 2017/1129) (PR) will come into force on 20 July 2017. The final text was published in the Official Journal on 30 June 2017 and will enter into force twenty days after its publication.
...more
The Pre-Emption Group reports on the use of its Statement of Principles -
The Pre-Emption Group, which represents listed companies, investors and intermediaries, has published a monitoring report looking at the use of its...more
6/6/2017
/ Data Protection ,
EU ,
EU Directive ,
EU Market Abuse Regulation (EU MAR) ,
European Securities and Markets Authority (ESMA) ,
General Data Protection Regulation (GDPR) ,
Personal Data ,
Preemption ,
Prospectus Regulation (PR3) ,
Shareholder Rights ,
UK
Corporate governance – 4MLD and changes to the PSC regime -
Companies House recently published its business plan for 2017-18, its strategic plan for 2017-2020 and a press release with details of additional anti-money...more
5/12/2017
/ Anti-Money Laundering ,
Business Plans ,
Disclosure Requirements ,
EU ,
Financial Conduct Authority (FCA) ,
Financial Institutions ,
Financial Markets ,
London Stock Exchange ,
MLD4 ,
Proxy Voting Guidelines ,
Shareholder Votes ,
Takeovers ,
Third-Party Risk ,
UK