48 results found for prohibition. Showing page 1 of 5.
SPL MAR table
... rules (as MAR application in the UK may diverge following the end of the transition period). The prohibition on a PDMR conducting a transaction under Article 19(11) MAR is drafted widely but it may have a ...
Training talk on UK MAR and employee share plans
... exemptions Art19(12) MAR & Art9 DREG Insider dealing • No ‘use’ of inside info • Do not fall within prohibition – recitals 23-25 MAR 1. SIP and SAYE Exemption for all transactions (except sales) • Closed periods ...
Talk on MAR
... not use the inside information when carrying out the transaction. 17 KEY PROVISIONS MAR Article 14 Prohibition of insider dealing and of unlawful disclosure of inside information A person shall not: (a) engage ...
Training talk on MAR
... can it occur? • (PDMRs only) Is it disclosable? • (PDMRs & CAPs only) Event MAR closed period prohibition? MAR insider dealing risk? Action / commentary Grant of option / award / right to acquire shares ...
SPL response on FCA paper on implementation of MAR
SPL response on FCA paper on implementation of MAR 2 April 2016 104kb PDF Your download should start automatically. If not download directly . Contact us Contact us Website developed by NetXtra © 2021 ...
Corporate and Regulatory Committee Meeting
... promotion exemptions for non-employee offers It was noted that some of the financial promotion prohibition exemptions previously relied upon for offers to non-employees (e.g. high net worth investor ...
Training talk on Consumer Credit for Share Plan Lawyers
... Kingdom, or purport to do so, unless he is—(a) an authorised person; or(b) an exempt person. (2) The prohibition is referred to in this Act as the general prohibition. s23 (1) A person who contravenes the general ...
SPL response to ESMA MAR review
... did not notify until the end of the 3 days. This will be resolved with the proposed change. 2. PDMR prohibition Q 53: Did you identify elements of Article 19(11) of MAR which in your view could be amended? If ...
SPL respose to consultation paper on treasury shares
SPL respose to consultation paper on treasury shares 8 January 2003 84kb PDF Your download should start automatically. If not download directly . Contact us Contact us Website developed by NetXtra © ...
SPL letter to UKLA on treasury shares
SPL letter to UKLA on treasury shares 11 April 2005 13kb PDF Your download should start automatically. If not download directly . Contact us Contact us Website developed by NetXtra © 2021 - 2024 Share ...