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Equity Capital Markets

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  • Update: Does your company have at least one director who is a natural person - Every company must have at least one natural person director.....does yours?  Read more >
  • List! - Issue No. 25 -  The FSA has published its 25th edition of List! providing coverage of topical issues.  Read more >
  • Inside AIM Issue 2 - The London Stock Exchange has published the second edition of its periodic newsletter, Inside AIM.  Read more >
  • Change to the Combined Code - The Financial Reporting Council (FRC) has published the new UK Corporate Governance Code (the new Code).  Read more >
  • Amending the Prospectus Directive - Amendments to the Prospectus Directive (“PD”) were adopted by the European Parliament on 17 June 2010.  The proposals will now be forwarded to the Council, the Commission and national parliaments to approve.  Once in force, Member States will be required to implement the changes within 18 months.  Read more >
  • Kraft Foods Inc. criticised by the Takeover Panel/Publication of the new UK Corporate Governance Code - On 26 May, the Takeover Panel (the Panel) published a statement of criticism of Kraft Foods Inc. for failing to meet certain standards required under the Takeover Code (the Code) during the course of its offer for Cadbury Plc.  Read more >
  • Changes to the Takeover Code's Disclosure Regime - Significant changes to the disclosure regime under the Takeover Code (the Code) take effect on 19 April 2010.  The Code's disclosure regime will move from being principally dealings based to being principally positions based.  Financial advisers and the parties to offers need to be aware of the changes and additional obligations.  Read more >
  • Change to the Takeover Code - Further changes have been made to the Takeover Code which take effect on 8 March 2010.  Read more >
  • List! - Issue No. 24 - The UKLA has published a supplementary edition of List! on the interaction between working capital statements and risk factors.  Read more >
  • Proposed changes to the Disclosure and Transparency Rules - The FSA has published a consultation paper proposing amendments to the Disclosure and Transparency Rules (DTR), DTRs 4 and 5.  Read more >
  • List! - Issue No. 23 -  The FSA has published its 23rd edition of List! providing coverage of topical issues.  Read more >  
  • Inside AIM Issue 1 - The London Stock Exchange has published the first edition of its periodic newsletter, Inside AIM.  Inside AIM is designed to keep AIM advisers, in particular Nominated Advisers (Nomads), updated on AIM policy and technical developments.  Read more >
  • Proposed changes to the AIM Rules - The London Stock Exchange has published a consultation paper proposing amendments to Rule 19 and to the guidance notes to Rules 14 and 19.  Read more >  
  • Financial Reporting Council publishes its final report on the review of the Combined Code - On 1 December, the Financial Reporting Council (FRC) published its final report on the 2009 review of the Combined Code (the Code).  It follows the publication last month of Sir David Walker's review of corporate governance in UK banks and other financial industry entities (the Walker Review).  Read more >  
  • Dawn Raids - Be prepared - Nathan Willmott and Aaron Stephens consider the steps which firms should be taking to protect themselves and ensure that they are prepared should the FSA conduct a dawn raid.  Read more >
  • Redressing the balance - Nathan Willmott and Polly James explain how financial services firms might be affected by the Government's proposals for improving consumer redress.  This article first appeared in Compliance Monthly (October issue).  Read more > 
  • Takeover Code - Consultation on extension of disclosure regime - Considers the proposed principal changes to the Code disclosure regime, including extension of “composite” disclosure regime, new “opening position disclosure” requirements, deleting the concept of “associate” from the Code, and stock borrowing and lending transactions and disclosure of short-only positions.  Read more > 
  • Best practice for the execution of documents - Explains the rationale behind best practice, the Mercury case and the background law, and expected future outcomes.  Read more >
  • Directors' and officers' liability insurance - A reminder of the reasons for such cover, especially in light of changes arising from the Companies Act 2006, the new causes of action available to dissatisfied shareholders, and the recent introduction of legislation relating to corporate manslaughter.  Read more >
  • The financial crisis and director's remuneration - Discusses the outcome of the Turner Review and recent guidance published in relation to directors’ remuneration.  Read more >
  • The Alternative Investment Market ("AIM") in the current climate - Why companies are delisting from AIM and the reasons they might have for remaining listed.  Read more >
  • List! - Issue No. 22 -  The FSA has published its 22nd edition of List! providing coverage of topical issues.  Read more >
  • Changes to the AIM Rules - disclosure of significant shareholdings - The AIM team have published amendments to the AIM Rules, which contain consequential changes to some of the definitions in the rules to align the rules with the new requirements of DTR 5.  Read more >
  • List! Issue No.21 - Summary of the latest UKLA newsletter including information on dealing with property valuation in prospectuses, the treatment of risk factors in documents, identification and management of conflicts.  Read more >
  • Are you ready for 1 June - disclosure of Contracts for Difference (CfDs) - A reminder of how companies will be affected by the new rules.  Read more >
  • Takeovers, electronic communications, websites and information rights - On 30 March 2009, changes to the Takeover Code (the Code) come into effect which will change the way parties to takeover offers communicate with shareholders and other relevant persons. Read more >
  • Practical tips for directors of companies in financial difficulties - Sets out the practical steps directors should consider if the company is in financial difficulty.  Read more > 
  • Capital raisings: share capital headroom, rights issue subscription periods and "cash box" structures - Discusses the recent changes to allow greater flexibility when undertaking a rights issue.  It also addresses the ABI's concern over the use of cash box structures.  Read more >
  • Dealing in securities under trading plans - We reported on  8 October 2008 that the FSA was proposing amendments to the Model Code (which applies to companies whose shares are admitted to trading on the Main Market) to allow persons discharging managerial responsibilities (PDMRs) to set up trading plans to allow them to trade those shares during a prohibited period.  Tessa Hastie reports on the new rules and steps to take advantage of them.  Read more >
  • List! Issue No. 20 - Summary of the latest UKLA newsletter including information on related party transactions, disclosure of major shareholdings, preliminary announcements of annual reports, implementation of the Shareholders Rights Directive, and sponsor services.  Read more >
  • Granting security over shares - what are the disclosure obligations? - Directors of companies whose shares are admitted to trading on the Main Market should notify the company of any security granted over their shares in the company.  Read more >
  • FSA fines company for delaying disclosure of inside information - FSA has fined Wolfson Microelectronics plc £140,000 for failing to reveal price sensitive information to the market as soon as possible.  Read more >
  • FSA extends short selling disclosure regime - FSA has confirmed it will extend the short selling disclosure regime until 30 June 2009.  Read more >
  • Last round of changes as a result of the Companies Act 2009:  What is left? - A summary of the final changes to come into force on 1 October 2009.  Read more >
  • FSA publishes Market Watch Issue 30 -This issue covers the thematic review of market rumours, sponsored access, and credit default swaps and the market abuse regime.  Read more > 
  • Proposed changes to the Model Code - Proposed changes to allow PDMRs to set up trading plans with independent third parties in non-prohibited periods which would allow the PDMRs to trade in those shares in a prohibited period.  Read more >
  • Latest guidance from the Takeover Panel Executive on inducement fees - Further guidance on the mechanism for calculating maximum amount permitted to be paid by way of an inducement fee.  Read more >
  • Derivative claims under the Act - Discusses the key changes made by Companies Act 2006 to the law on derivative claims and the practical application of these new provisions in light of recent case law.  Read more >
  • The Companies Act 2006: Changes to directors' conflicts of interest rules - The Companies Act 2006 codifies the duty of a director to avoid a conflict of interest and introduces new rules regarding the authorisation of conflicts.  Are your policies up-to-date?  Read more > 

Get in touch

David Collins

David Collins

BLP
Partner, Head of Corporate Finance

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