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Life Sciences Quarterly: A View From Washington: What to Expect From the SEC
The new regime modernises the listing framework while maintaining robust standards to protect investors and ensure market integrity. On 11 July 2024, the FCA released the final rules for the new UK listing regime, which...more
FCA Issues Reminders on Annual Reporting and LTIP Disclosure Requirements - On 22 May 2024, the FCA published Primary Market Bulletin 49 (PMB 49) reminding listed companies of certain continuing obligations under the...more
ESG continues to be a hot topic for 2024 for investors and regulators alike. The specific concerns investors and regulators have – and what they expect to develop over the coming months – differ, however, across...more
The long-awaited Public Offers and Admissions to Trading Regulations 2024 (the Regulations), the legislation replacing the UK Prospectus Regulation (the UKPR), came into effect on 29 January 2024 alongside an explanatory...more
Individuals continue to face risk from prosecutions for economic crime, despite media focus on corporate criminal liability reforms. Four individuals have today appeared at Westminster Magistrates’ Court charged with fraud...more
The UK Financial Conduct Authority (the “FCA”) on May 3, 2023, published consultation paper CP23/10 (the “Consultation Paper”), which sets out the FCA’s proposals to significantly reform the UK’s equity listing regime. The...more
Issuers of certain transferable securities listed in the UK should be aware of certain new regulatory requirements relating to the preparation and content of their financial statements....more
The FCA has published its much-anticipated consultation (CP21/17) on climate-related financial disclosures and guidance for UK asset managers, UK life insurers and FCA-regulated pension providers. Consistent with the...more
As part of the UK government’s roadmap towards mandatory climate-related disclosures across the entire UK economy by 2025, the FCA is proposing to extend the application of its new climate-related disclosure requirements to...more
The UK government has made another stride in its green finance ambitions – a consultation on mandatory climate-related financial disclosures for UK large corporates. The proposals, based on the Financial Stability Board...more
The review of the UK Listing Rules was launched by HM Treasury (the Treasury) late last year and has made a number of wide-ranging recommendations of relevance for our tech and life sciences clients who have ambitions to go...more
Recent changes introduced by the Financial Conduct Authority (FCA) - On 21 December 2020, as we broke for Christmas, the FCA published new Listing Rule 9.8.6R(8) (LR) and guidance requiring commercial companies with a UK...more
Tackling climate change is not a new initiative in the UK. Indeed, the UK was one of the first countries worldwide to endorse the recommendations of the Task Force for Climate-related Financial Disclosures (TCFD) – aimed at...more
"Investing With Purpose", the November 2020 report of the UK's Asset Management Taskforce, a grouping of the UK Government, asset managers, regulators and other stakeholders, is primarily aimed at improving stewardship and a...more
1. Selecting a stock exchange or market - Understand the benefits of the alternative listing options, such as the premium or standard segments of the Main Market or the AIM market of the London Stock Exchange, which are...more
The Financial Conduct Authority (FCA), Financial Reporting Council (FRC), Prudential Regulation Authority (PRA) and the European Securities and Markets Authority (ESMA) have announced a series of actions to ensure information...more
COVID-19: PRA Dear CEO letter on IFRS 9, capital requirements and loan covenants - On 26 March 2020, the Prudential Regulation Authority (PRA) published a Dear CEO letter giving guidance on consistent and robust...more
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
SEC/CORPORATE - SEC-Proposed Amendments to Financial Disclosures for Acquisitions and Dispositions of Businesses - As a result of the Securities and Exchange Commission’s 2015 request for comments on Regulation S-X, the...more
Alleged Flash Crasher's Formal Indictment Provides More Details Regarding His Purported Spoofing - The US Department of Justice filed a formal indictment against Navinder Singh Sarao in a US federal court in Chicago on...more
The Government has confirmed it intends to require large publicly-traded companies to publish extensive details on their practices and policies for paying invoices....more
In this issue: - CFTC’s Energy and Environmental Markets Advisory Committee To Hold Meeting - CFTC Announces Members of Market Risk Advisory Committee - NFA Notifies SDs and MSPs of Annual Questionnaire...more
The insider trading trial of former SAC Capital official Matthew Martoma opened this week in Manhattan with jury selection. The SEC announced the resignation of George Canellos, Co-director of the Division of Enforcement....more