Topic
Listing Rules
75 published works
Global Financial Regulatory Blog
Proposed FCA Rules Extend Warmer Welcome to Sovereign-Controlled Companies
By James Inness and Sean Meehan On 13 July 2017, the Financial Conduct Authority (FCA) proposed a relaxation of certain aspects of the premium listing segment for sovereign-controlled companies. The…
Down the Wire
FCA Quarterly Consultation Paper
The FCA has published its 12th quarterly consultation paper. The FCA is proposing the following changes to the Listing Rules, the Disclosure Rules and Transparency Rules and the Prospectus Rules: to modify…
China Law Insight
The Five Environmental Requirements for Listing on the New Third Board
By King & Wood
By Wu Qing King & Wood Mallesons' Commercial & Regulatory Group The environmental requirements for listing on the New Third Board are based on Article 2 Paragraph 2 of the…
Down the Wire
FCA Quarterly Consultation
The Financial Conduct Authority has published its quarterly consultation paper which, amongst other things, proposes a number of amendments to the Listing Rules, Prospectus Rules and Disclosure and Transparency Rules. The…
Down the Wire
Failure to Identify Related Party Transactions
By Andrew Glaze
FCA Imposes Fine on Premium Listed Company for Failing to Identify its Related Party Transactions The Financial Conduct Authority has fined Asia Resource Minerals plc some £4.6m for historic breaches of…
Down the Wire
FCA Rules Consultation
The Financial Conduct Authority has published its ninth quarterly consultation paper. Chapter 2 of the consultation paper sets out proposals to amend the Listing Rules and Disclosure and Transparency Rules…
Timely disclosure
TSX Proposes Listing Requirements for Investment Funds
On January 15, 2015, the Toronto Stock Exchange (TSX) published for comment proposed amendments to the TSX Company Manual which would introduce listing requirements for non-corporate entities, such as exchange-traded…
Timely disclosure
TSXV Revises Definition of Tier 1 Property
On May 6, 2014, the TSX Venture Exchange (TSXV) amended the definition of “Tier 1 Property” contained in Policy 1.1 - Interpretation of the TSXV Corporate Finance Manual (TSXV Manual).…
Banking, Finance and Securities
FCA set to implement new listing rules in May 2014
In Consultation Paper 13/15: Enhancing the effectiveness of the listing regime and further consultation (CP13/15), the FCA included a question on changing the rules on cancelling a listing. The FCA…
Timely disclosure
Facilitating the Listing Process for Non-Resource Issuers – TSXV Clarifies the “History of Operations or Validation of Business” Requirement
Overview On January 29, 2014 the TSX Venture Exchange (TSXV) published a bulletin providing some guidance to facilitate the listing process for issuers intending to list on the TSXV in…