Ed Lukins on Publicly-Traded Companies

FCA Publishes Final Rules on Board and Executive Management Diversity and Inclusion

The Financial Conduct Authority ("FCA") has announced new Listing Rules ("LRs") and changes to the Disclosure Guidance and Transparency Rules ("DTRs") on board and executive management diversity and inclusion in its policy...more

4/25/2022 / Corporate Governance , Disclosure Requirements , Diversity and Inclusion Standards (D&I) , Financial Conduct Authority (FCA) , Listing Rules , Publicly-Traded Companies , Transparency , UK

FCA Publishes New Listing Rule and Guidance on Climate Related Disclosures Applicable to Standard Listed Companies

On 17 December 2021, the Financial Conduct Authority ("FCA") announced a new Listing Rule on climate-related disclosures in its policy statement PS12/23. The new Listing Rule will apply to issuers of shares (or global...more

12/31/2021 / Capital Markets , Climate Change , Corporate Governance , Environmental Social & Governance (ESG) , Financial Conduct Authority (FCA) , Listing Rules , Publicly-Traded Companies , UK

FCA Updates the Listing Rules – Out With the Old, in With the New

On 2 December 2021, the Financial Conduct Authority ("FCA") announced some material changes to the Listing Rules in its policy statement PS21/22; these are summarised below. The FCA has sought to strike a balance between...more

12/9/2021 / Capital Markets , Corporate Governance , Corporate Issuers , Financial Conduct Authority (FCA) , Listing Rules , Policy Statement , Publicly-Traded Companies , Takeover Code , UK

I Want You SPAC for Good – The FCA Publishes Listing Rule Changes for UK SPACs

As outlined in our 30 April 2021 insight, Exit through the SPAC door? UK FCA publishes proposed changes to the Listing Rules, the UK Financial Conduct Authority ("FCA") published a consultation paper (the "Consultation")...more

8/5/2021 / Capital Markets , Financial Conduct Authority (FCA) , Initial Public Offering (IPO) , Listing Rules , Policy Statement , Publicly-Traded Companies , Special Purpose Acquisition Companies (SPACs) , UK

Exit through the SPAC door? UK FCA publishes proposed changes to the Listing Rules

The UK Financial Conduct Authority ("FCA") has published its proposals to amend the Listing Rules relating to special purpose acquisition companies ("SPACs"), having considered Lord Hill’s UK Listing Review Report....more

5/20/2021 / Capital Markets , Capital Raising , Financial Conduct Authority (FCA) , Initial Public Offering (IPO) , Investment , Listing Rules , Publicly-Traded Companies , Special Purpose Acquisition Companies (SPACs) , UK

SEC Updates Disclosure Requirements for Risk Factors and Business and Legal Proceeding Descriptions

Exchange Act Reports; Securities Act Filings - On August 26, 2020, the Securities and Exchange Commission announced changes to Regulation S-K intended to modernize certain disclosures related to an issuer’s business...more

8/28/2020 / Corporate Governance , Disclosure Requirements , Financial Regulatory Reform , Publicly-Traded Companies , Regulation S-K , Securities and Exchange Commission (SEC) , Securities Regulation

SEC Offers Extended Filing Relief to Companies Hit by Coronavirus

Exchange Act Reports - On March 25, 2020, the Securities and Exchange Commission issued an exemptive order modifying its March 4, 2020 order granting regulatory relief for certain publicly-traded company filing obligations...more

3/30/2020 / Coronavirus/COVID-19 , Corporate Governance , Disclosure Requirements , Filing Deadlines , Filing Requirements , Publicly-Traded Companies , Relief Measures , Required Forms , Securities and Exchange Commission (SEC) , Securities Regulation

COVID-19 UK Insight: FCA, FRC and financial reporting emergency measures

The Financial Conduct Authority took the unprecedented step yesterday (Sunday March 22, 2020) of writing to all issuers who had guided that they were releasing preliminary results in the coming days ahead of the release for...more

3/23/2020 / Capital Markets , Coronavirus/COVID-19 , Financial Conduct Authority (FCA) , Financial Statements , Listing Rules , Publicly-Traded Companies , UK

SEC Expands Smaller Reporting Company Relief

Internal Control Over Financial Reporting and Filing Deadlines - On March 12, 2020, the Securities and Exchange Commission adopted amendments to the definitions of “accelerated filer” and “large accelerated filer.”...more

3/19/2020 / Accelerated Filers , ICFR , Publicly-Traded Companies , Relief Measures , Sarbanes-Oxley , Securities and Exchange Commission (SEC) , Smaller Reporting Companies

Ed Lukins

Orrick, Herrington & Sutcliffe LLP

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