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  2. Listing Rules - Wikipedia

    en.wikipedia.org/wiki/Listing_Rules

    The UK Listing Rules (UKLR) are a set of regulations applicable to any company listed on a United Kingdom stock exchange, subject to the oversight of the Financial Conduct Authority (FCA). The UK Listing Rules set out mandatory standards for any company wishing to list its shares or securities for sale to the public, including principles on ...

  3. Financial Conduct Authority - Wikipedia

    en.wikipedia.org/wiki/Financial_Conduct_Authority

    The Financial Conduct Authority (FCA) is a financial regulatory body in the United Kingdom. ... The FCA published new Listing Rules in 2024, aiming to simplify the UK ...

  4. UK Corporate Governance Code - Wikipedia

    en.wikipedia.org/wiki/UK_Corporate_Governance_Code

    It is overseen by the Financial Reporting Council and its importance derives from the Financial Conduct Authority's Listing Rules. The Listing Rules themselves are given statutory authority under the Financial Services and Markets Act 2000 [2] and require that public listed companies disclose how they have complied with the code, and explain ...

  5. Official List - Wikipedia

    en.wikipedia.org/wiki/Official_List

    The Official List (or UKLA Official List) is the list of securities maintained by the British Financial Conduct Authority (acting in its capacity as the UK Listing Authority). The list indicates the listing category of the listed securities and if they have a premium listing or standard listing. [1]

  6. FCA Controlled Functions - Wikipedia

    en.wikipedia.org/wiki/FCA_Controlled_Functions

    The compliance oversight function is the function of acting in the capacity of a director or senior manager who is allocated by the Financial Services Authority the function of reporting to the governing body to ensure compliance with the rules set out in Conduct of Business, Collective Investment Schemes and Client Assets related operations. [10]

  7. Companies Act 2006 - Wikipedia

    en.wikipedia.org/wiki/Companies_Act_2006

    The Act gives the Financial Services Authority (now the Financial Conduct Authority) power to make rules to implement the requirements of the Directive, which would be implemented by way of changes to the existing Listing Rules and Disclosure Rules. Under s.1270, the Act also introduced a statutory compensation scheme for misleading or ...

  8. US financial regulators propose anti-money laundering rules ...

    www.aol.com/news/us-financial-regulators-propose...

    The new rules were proposed by the U.S. Securities and Exchange Commission and the U.S. Treasury Treasury's Financial Crimes Enforcement Network (FinCEN). In February, FinCEN proposed requiring ...

  9. Hampel Report - Wikipedia

    en.wikipedia.org/wiki/Hampel_Report

    The Financial Services Authority Listing Rules online and in pdf format Archived 23 February 2009 at the Wayback Machine, under which there is an obligation to comply with the Combined Code, or explain why it is not complied with, under LR 9.8.6(6). The Financial Reporting Council's website