Miscellaneous: Equity Capital Markets

An introduction to the CREST electronic settlement system and to the holding of shares in CREST.

An overview of the FCA, the UK financial services regulator responsible for the conduct of firms authorised under the Financial Services and Markets Act 2000 (FSMA). The FCA is also responsible for the regulation of conduct in retail and wholesale financial markets, supervision of the trading infrastructure that supports those markets and the prudential regulation of firms not regulated by the PRA. The note considers the roles and responsibilities of the FCA, its legal status, its governance arrangements and the accountability mechanisms that apply to it. This note is part of a series of notes relating to the new UK financial services regulatory structure. For more information, see Practice note, A guide to the new UK financial services regulatory structure: index.

A practice note listing key forthcoming dates for corporate lawyers. For key dates in 2011, see Practice note, Key dates for corporate lawyers: 2011.

A practice note listing key dates of interest during 2012 for corporate lawyers.

This legislation tracker monitored the legislative progress of the Financial Services Act 2012 (FS Act), the primary legislation relating to the government's reforms of the UK financial services regulatory structure, which took effect on 1 April 2013. For more information about the FS Act, see Practice note, Financial Services Act 2012. This practice note is part of a series of notes relating to the new UK financial services regulatory structure. For more information, see Practice note, A guide to the new UK financial services regulatory structure: index

This note provides access to know-how relating to Chapter 10 of the Listing Rules (LR 10), giving links to the relevant provisions of the Listing Rules and a summary of, and links to, know-how that may assist with the interpretation and understanding of those provisions.

This note provides access to know-how relating to Chapter 15 of the Listing Rules (LR 15), giving links to the relevant provisions of the Listing Rules and a summary of, and links to, know-how that may assist with the interpretation and understanding of those provisions.

This note provides access to know-how relating to Chapter 6 of the Listing Rules (LR 6), giving links to the relevant provisions of the Listing Rules and a summary of, and links to, know-how that may assist with the interpretation and understanding of those provisions.

This note provides access to know-how relating to Chapter 9 of the Listing Rules (LR 9), giving links to the relevant provisions of the Listing Rules and a summary of, and links to, know-how that may assist with the interpretation and understanding of those provisions.

This note provides access to know-how relating to Chapter 2 of the Prospectus Rules, giving links to the underlying rules and a summary of and links to know-how which may assist with the interpretation and understanding of those rules.

This note provides access to know-how relating to Chapter 4 of the Prospectus Rules, giving links to the underlying rules and a summary of and links to know-how which may assist with the interpretation and understanding of those rules.

This note provides access to know-how relating to Annexes I to III, X and XXII of the Prospectus Regulation, as set out in Appendix 3 of the Prospectus Rules, giving links to the Appendix and a summary of and links to know-how which may assist with the interpretation and understanding of the relevant provisions.

A summary of the process to be followed by an issuer that wishes to move its shares to the Main Market from AIM and the key differences in eligibility requirements and ongoing obligations between the two markets.

This note discusses how the US Securities and Exchange Commission's (SEC) rules implementing the whistleblower provisions of the US Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act) apply to non-US companies. The whistleblower rules offer potentially significant bounties to whistleblowers (including those outside the US) who provide the SEC with information about a US securities law violation that leads to a successful enforcement action. This note discusses briefly whistleblower protections under the US securities laws prior to the Dodd-Frank Act, key concepts under the SEC whistleblower rules, the impact of the SEC's whistleblower rules, and what actions companies should take in light of these rules.

A summary of the UK and other main markets available for a company when launching an IPO.