Shareholders, Investors, Financial Conduct Authority (FCA)

Faqs – What US Clients Need to Know About PISCES – a New Secondary Private Stock Market in the UK

Mayer Brown on 7/22/2025

WHAT ARE THE KEY DRIVERS FOR REFORM? The UK Treasury ("HMT") noted the following as drivers for reform: A key challenge for private companies is that, at early stages in their growth, there are no standardised ways...more

FAQs – What US Clients Need to Know About PISCES – A New Secondary Private Stock Market in the UK

Mayer Brown on 7/17/2025

WHAT ARE THE KEY DRIVERS FOR REFORM? The UK Treasury ("HMT") noted the following as drivers for reform: A key challenge for private companies is that, at early stages in their growth, there are no standardised ways...more

FCA’s Proposals for Reform of UK Listing ‎Regime

Troutman Pepper Locke on 5/8/2023

On 3 May 2023 the Financial Conduct Authority (FCA) published its consultation paper (CP23/10) setting out a blueprint for significant reforms of the UK listing regime for issuers of shares. The policy proposals are intended...more

FCA discussion paper on further UK listing regime reforms

White & Case LLP on 5/27/2022

FCA publishes discussion paper on replacing current premium and standard listing segments with new single listing segment and sponsor regime reforms- On 26 May 2022, the FCA published a discussion paper (DP22/2) seeking...more

FCA fines and makes restriction order against investor for market abuse

A&O Shearman on 11/10/2016

In this decision report we review the FCA's final notice issued to Gavin Duncan Paul Breeze on 15 July 2016. Mr Breeze was an investor in, and a former non-executive director (NED) of, a mobile payment software...more

Corporate and Financial Weekly Digest - Volume IX, Issue 48

Katten Muchin Rosenman LLP on 12/15/2014

In this issue: - Recent Developments Relating to Rights to Exclude Shareholder Proposals from Proxy Statements - SEC Approves MSRB Best Execution Rule - SEC Sanctions Operator of Unregistered Virtual...more