The FCA has published Primary Market Bulletin (PMB) No 54 outlining its concerns around the unlawful disclosure of inside information during the course of M&A transactions....more
The FCA has published Primary Market Bulletin No.42 which, amongst other things: (i) discusses themes from the FCA’s enquiries into unlawful disclosure of inside information (ii) highlights the relationship between the...more
12/15/2022
/ Acquisitions ,
EU Market Abuse Regulation (EU MAR) ,
Financial Conduct Authority (FCA) ,
Foreign Investment ,
Internal Controls ,
Investment ,
Investment Adviser ,
Market Abuse ,
National Security ,
Personal Data ,
Regulatory Oversight ,
Task Force on Climate-related Financial Disclosures (TCFD) ,
UK
The Financial Services Act 2021 (the “Act”) has received Royal Assent and is now law.
What does this mean for issuers?...more
The Financial Conduct Authority (FCA) conducted a review of Delayed Disclosure of Inside Information (DDII) notifications which identified a number of areas where it will be increasing its oversight in the future. This note...more
The FCA has published a Decision Notice and fined the former CEO of WorldSpreads Ltd for engaging in market abuse (dissemination, manipulating transactions and false or misleading impressions) and banned him from performing...more
The FCA has published a public censure against an AIM company, Redcentric PLC (“Redcentric”), for committing market abuse by publishing false information about its debt and cash positions. As an IT firm providing services...more
The FCA has published a special edition of its Primary Market Bulletin which provides key commentary for issuers and market participants in light of the coronavirus pandemic.
Ongoing disclosure under the Market Abuse...more
On 11 December 2019, a Regulation amending the Market Abuse Regulation and the Prospectus Regulation was published. The aim of these amendments is to increase the attractiveness of SME Growth Markets by reducing some of the...more
12/16/2019
/ AIM ,
Capital Formation ,
Capital Markets ,
Corporate Governance ,
EU ,
EU Market Abuse Regulation (EU MAR) ,
Financial Conduct Authority (FCA) ,
Insider Information ,
London Stock Exchange ,
Market Abuse ,
Prospectus ,
Prospectus Regulation (PR3) ,
Small and Medium-Sized Enterprises (SMEs) ,
UK