Index by publication date (Jan 03 - Dec 04)
This page consists of UKLA newsletter articles listed by title before the Prospectus Directive was implemented.
| Date | Articles | Rule |
|---|---|---|
| Jan 2003 | ECMG Technical Team - a new approach |
|
Profit forecasts and estimates |
PR Annex 1 13, LR 13.5.32 |
|
| Preliminary announcements | LR 9.7 | |
| Market user forum | ||
| Whistleblowing under the Public Disclosure Act 1998 | PIDA 1998 | |
| May 2003 | Risk focussed approach | Process |
| Central Debt Desk (CDD) | ||
| Dual listed companies v dual headed structures | ||
| Working Capital Report | LR6.1.16 | |
| Reminder on class tests | LR 10, A1 | |
| Market capitalisation test - waiving the consideration | LR 10, A1 | |
| Transactions on a short timetable | Process | |
| Listing applications | LR 3 | |
| Nov 2003 | Announcing price sensitive information | |
| Aggregating transactions | LR 10.2.10 | |
| Listing applications | LR 3 | |
| Treasury shares | ||
| Can I announce a trading statement in a close period | LR9 Annex 1 DR 2.2 | |
| Deadlines for submitting financial results for equity issuers | LR 9.7 | |
| April 2004 | Announcing PSI | DR 2.2 |
| Working capital statements | LR 6.1.16 PR, Annex 3 3.1 | |
| Profit forecasts | PR Annex 1 13, LR 13.5.32 | |
| Significant change statements | PR Annex 1 20.9 | |
| Financial information on Class 1 acquisition targets | ||
| Sponsor regulation issues | LR 8 | |
| Reassessing eligibility of investment trust manager | LR 15.2.2 | |
| Prospectus Directive - Home member state election | Process | |
| Announcements issued on behalf of specialist debt securities | LR 17.4 | |
| Timing for allocating new transaction documents | Process | |
| Annual listing Conference Q&A | ||
| Sept 2004 | Innovative structures and schemes | LR 8.4 |
| Contacting eligible employees | LR 8.7.11 | |
| Submission of documents | Process | |
| Assessing the experience of investment managers for investment companies and VCTs | LR 15.2.2, LR 16.2.3 | |
| Pro forma financial information | PR Annex 1 20.2 | |
| Working capital in non-recommended take-over | LR 13.4.3, LR 10 | |
| Revised offers | LR 13.4.3, LR 10 | |
| Listed but unregulated market for specialist securities | ||
| First de-linked securitisation platform | LR9 Annex 1 | |
| Model code | LR9 | |
| Release of announcements under embargo | PR Annex 1 | |
| Payment of UKLA transaction fees | LR Appendix 2 | |
| Dec 2004 | Joint venture exit arrangements | LR 10.8.9, LR 11.1.12, Annex 1, 10 |
| Investment companies and venture capital trusts - takeover situations | LR 15.2.4(2) | |
| Property investment companies | LR 15.5.12 | |
| Draft listing particulars | PR 2.3.2, PR 3.3 | |
| The 10% rule | DR 2.2 | |
| Without delay v misleading announcements | DR 2.2, DR 2.5 | |
| Listing rule 9.4 and when to disclose | DR 2.2 DR 2.5 | |
| Missing shareholder services | COB 2.1.3, COB2.1.4 | |
| When should sponsors source information? | PR Annex 1 23.2 Annex 10 |
