• Doing business with the FSA
  • UK Listing Authority
    • Company Monitoring
      • PDMR Capital Gains Tax
      • Major shareholding notifications
      • Responsibility of major shareholders
      • Equivalence of non-EEA regimes
      • Non-EEA investment managers
      • Frequently asked questions

The Company Monitoring team is responsible for monitoring companies' compliance with their continuing obligations of disclosure under the Listing Rules and the Disclosure Rules The team's primary role is to ensure the timely and accurate disclosure of inside information by companies admitted to trading on a UK regulated market.

The work of the team supports the FSA's statutory objectives of maintaining market confidence, investor protection and reducing financial crime. In addition, as part of the UK Listing Authority (UKLA), the team works towards objectives and aims set each year by the Treasury.

Company Monitoring give information on:

Chapter 9 of the Listing Rules Chapter 12 of the Listing Rules Chapter 14 of the Listing Rules Chapter 15 of the Listing Rules

Chapter 16 of the Listing Rules Chapter 17 of the Listing Rules Prospectus Rules Disclosure and Transparency Rules

Company Monitoring team

The team aims to be as pro-active and risk based as possible. Real-time monitoring is an important part of our role. We routinely monitor press coverage and unusual share price movements relating to listed companies. And we also carry out thematic and sectoral-based work on high-risk issues. The team looks at compliance with the Model Code and monitors the activities of listed companies to ensure they comply with the obligations imposed upon them by the Listing Rules, the Disclosure Rules and section 5.2 of the Prospectus Rules.

We operate a helpdesk giving technical guidance on these areas.

Our position within the FSA

The Company Monitoring team sits within the Markets Division. Along with Listing Transactions, the Company Monitoring team is part of the UKLA; the competent authority responsible for listing in the UK.

As part of the Market Monitoring Department we often liaise with the London Stock Exchange, the Panel on Takeovers and Mergers and other regulators. We work closely with the FSA's Market Conduct and Transaction Monitoring Team,which is responsible for policing and implementing the UK’s market abuse regime.

The Document Viewing Facility

You can inspect any document to which Listing and Prospectus Rules apply (see LR9.6.1 and PR 5.2) at the Document Viewing Facility in our London office.

The Document Viewing Facility includes the following types of documents - circulars, notices and resolutions passed by shareholders, annual reports, final reports and prospectuses.

Our address is: the Financial Services Authority, 25 The North Colonnade, Canary Wharf London E14 5HS.
The first copy of a document is free and any additional copies are £10.