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英国金融行動監視機構(FCA)上場規則ガイド 第30版

A Practitioner's Guide to the FCA Listing Regime, 30th (2017/2018)

Toby Wallis, Arman Fallah, Lucy Fergusson, Simon Thomas, et al. (Editors)

1 vol. Paper., 2017年6月刊

Sweet & Maxwell, GBR. ISBN: 9780414064126

¥46,808

在庫あり

2013年より金融サービス機構(FSA)にかわってロンドン証券取引所(LSE)上場の監督業務を引き継ぐ、金融行動監視機構(FCA;Financial Conduct Authority)による上場、目論見書、開示、透明性に関する規則ガイド。

【Table of Contents】

1. The FCA Listing Rules / Toby Wallis and Robert Bolt, Financial Conduct Authority

1.1 Introduction

1.2 Develoopment of the UK's Listing Regime

1.3 The Financial Services Act 2012 and the role of the FCA

1.4 The European Directives

1.5 The Listing Regime

1.6 Recent policy changes and consultations on changes to the listing Regime

1.7 Other sources of information: The UKLA website and Technical Notes

1.8 Overview of the Listing Regime

2. The Statutory Framework for Listing / Lucy Fergusson, Linklaters LLP

2.1 Introduction

2.2 Overview of the statutory framework

2.3 Initial disclosure - prospectuses and listing particulars

2.4 Applying for listing

2.5 Continuing obligations

2.6 Financial promotions and advertisements

2.7 Market abuse

2.8 FCA's enforcement powers

3. Application Procedure and Publication of Prospectuses / Simon Thomas, Clifford Chance LLP

3.1 Introduction

3.2 Sponsors

3.3 Requirements for listing

3.4 The methods in which shares may be brought to listing

3.5 Listing application procedures

3.6 Publication and availability of prospectuses

4. Contents of Prospectuses / John Papanichola, Slaughter and May

4.1 Introduction

4.2 The "informed assessment" test

4.3 Structure and content requirements

4.4 Specific contents requirements

4.5 Omission of information

4.6 Approval

4.7 Supplementary prospectuses

4.8 Takeovers

4.9 Concluding thoughts

5. Financial Information / Linda Main, KPMG LLP

5.1 Introduction

5.2 Historical financial information requirements

5.3 Pro forma figures

5.4 Profit forecasts and estimates

5.5 Working capital

5.6 Statement of capitalization and indebtedness

5.7 Significant change in financial and trading position

5.8 Financial Reporting Procedures

5.9 Annual accounts, preliminary statements, interim reports and interim management statements

6. Continuing Obligations / James Roe and Veronique Legoff, Allen & Overy LLP

6.1 Introduction

6.2 The Disclosure Rules

6.3 The Transparency Rules

6.4 The Listing Rules

6.5 The Prospectus Rules

6.6 Purchase of own securities and treasury shares

6.7 Standard Listing

6.8 Cancellation of listing

6.9 Suspension of listing

6.10 Enforcement

6.11 Conclusion

7. Significant Transactions and Related Party Transactions / Chris Horton and Rachel Lewis, Simmons & Simmons

7.1 Introduction

7.2 Classification

7.3 Percentage ratio tests

7.4 Other transactions requiring classification

7.5 Miscellaneous

7.6 Notifications

7.7 Circulars

7.8 Procedure for a Class 1 acquisition

7.9 Example of a Class 1 acquisition

7.10 Reverse takeovers

7.11 Takeovers

7.12 Transactions with related parties

8. Overseas Companies, Investment Entities, Debt and Specialist Securities and Mineral Companies and the High Growth Market / Simon FT Cox, Norton Rose LLP

8.1 Introduction

8.2 Overseas companies

8.3 Investment entities

8.4 Venture capital trusts

8.5 Property investment companies

8.6 Real Estate Investment companies

8.7 Specialist Fund Market ("SFM")

8.8 Debt and specialist securities

8.9 Specialist certificates representing other securities

8.10 Mineral companies

8.11 High Growth Market