Results 1 to 5 of 9

Directors’ responsibility for identifying inside information - Lessons to be learnt from the FCA’s decision in relation to Sir Christopher Gent

European Union, United Kingdom - September 16 2022 This article considers the decision of the Financial Conduct Authority (FCA) to fine Sir Christopher Gent the sum of £80,000 for the unlawful…

Simon Morris, Cathy Pitt

AIM Rules: the Importance of engaging with your nominated adviser

United Kingdom - December 3 2021 An AIM listed company (the “Company”) was recently publicly censured and fined heavily for failing to properly engage with its nominated adviser and…

Nicole Gyring-Nielsen, Alasdair Steele

FCA announces measures to help listed companies to raise new share capital

United Kingdom - April 9 2020 On 8 April 2020, the Financial Conduct Authority (FCA) announced a series of measures aimed at assisting companies to raise new share capital in…

Graeme Bruce, Gary Green

FCA enforcement against PDMR

United Kingdom - December 23 2019 In the first such action to be made fully public, the FCA has fined a managing director of a listed company £45,000 for failing to notify share…

Philippa Chatterton, Alasdair Steele

New rules on material related party transactions for premium and standard listed companies

European Union, United Kingdom - August 8 2019 The purpose of the Shareholders Rights Directive II (“SRD II”) is to encourage long-term shareholder engagement and transparency between traded…

Zain Akhtar, Alasdair Steele