Listing, Prospectus, Disclosure and Transparency Rules
This part of the topic index contains resources on Listing, Prospectus, Disclosure and Transparency rules. Please select the resource that you require by clicking on the relevant tab below.
8
resources
These resources are maintained, meaning that we monitor developments on a regular
basis and update them as soon as possible.
| 1 | FSMA overview An overview of the Financial Services and Markets Act 2000 (FSMA). | Practice note: overview | Maintained |
| 2 | UK Corporate Governance Code: overview This note provides an overview of the UK Corporate Governance Code. | Practice note: overview | Maintained |
| 3 | Disclosure Rules: transactions by persons discharging ... This note outlines the obligations in the Disclosure Rules under which persons discharging managerial responsibilities, and their connected persons, are required to disclose to the issuer transactions conducted on their own account in the issuer's shares. | Practice notes | Maintained |
| 4 | GC100: Guidelines on the practical implementation of certain ... Please note that these guidelines have now been superseded by new guidelines published in May 2012. For links to the updated guidelines, see Listing Rules: GC100 guidelines updated and republished. The Association of General Counsel and Company Secretaries of the FTSE 100 (GC100) has published its revised set of guidelines to assist members of GC100 in: (1) establishing procedures, systems and controls to ensure compliance with obligations under the Listing Rules and the Disclosure and Transparency Rules); (2) complying with the requirement under the Disclosure Rules to maintain Insider Lists; and (3) implementing procedures to enable compliance with the requirements under the Disclosure Rules for directors and other senior executives to disclose dealings in the company's securities and the requirements of the Listing Rules that dealings must be restricted in accordance with the Model Code. The guidelines replace the initial set of guidelines circulated to members of GC100 two years ago. | Practice notes | 09-Jul-2007 |
| 5 | Going concern statement The Listing Rules require a going concern statement to be included in the annual financial report of certain listed companies. | Practice notes | Maintained |
| 6 | Model Code This note summarises the Model Code in the UK Listing Rules. As part of its continuing obligations under the Listing Rules, a company that has a premium listing of equity shares must require compliance with the Model Code (or more rigorous dealing obligations) to restrict the ability of persons discharging managerial responsibilities from dealing in the company's securities. | Practice notes | Maintained |
| 7 | Statutory liability for false or misleading statements, omissions ... An outline of the statutory liability provisions for false or misleading statements, omissions and dishonest delay in published information relating to securities and company reports under section 463 of the Companies Act 2006 and section 90A of the Financial Services and Markets Act 2000 (as amended by the Financial Services and Markets Act 2000 (Liability of Issuers) Regulations 2010 (SI 2010/1192)). | Practice notes | Maintained |
| 8 | Transactions with directors prior to 1 October 2007 An overview of the matters to consider when a company enters into a transaction or arrangement with a person who is a director of the company or a director of its holding company. This note looks at the regulation of such transactions and contains links to more detailed practice notes and specimen resolutions on certain transactions that a company may enter into with its directors | Practice notes | 06-Apr-2007 |