Key External Regulatory Sources for shares.

For information, here are some link to the latest versions of the Regulatory Handbooks that are relevant to companies listed in the UK. I will try and keep them updated, but please check the external websites for latest versions.

Handbooks and Regulations Covering Companies and Participants

AIM Rules – All companies listed on the AIM market must comply with these rules. The backbone of the rules is inherited from the FCA and EU rules, handbooks included below. (Updated July 2016)

EU Market Abuse Regulations (MAR) – Regulated companies and other stock market partcipants on Market Abuse for stocks listed on EU exchanges. At time of writing this therefore covers all UK exchanges.  (Updated June 2014)

FCA Disclosure Guidance and Transparency Rules (DTR) – Concerns disclosure requirements for all companies listed on a UK exchange. This serves as the backbone for AIM rules also. (Updated April 2017)

FCA Market Abuse Regulations (MAR) – Regulated companies and other stock market partcipants on Market Abuse for stocks listed on UK exchanges. (Updated April 2017)

Company Register

Companies House – Certain filings and details of directors must be filed here for UK companies. Useful for due dilligence on private companies.

Extractive Industries Reserve and Resouce Rules

JORC Code – The Australasian Code for Reporting of Exploration Results, Mineral Resources and Ore Reserves (‘the JORC Code’) is a professional code of practice that sets minimum standards for Public Reporting of minerals Exploration Results, Mineral Resources and Ore Reserves. As many UK listed miners have Australian operations/head offices this code is likely to apply. (Updated 2012)

Petroleum Reserves and Resources Definition – Regulations around classifications of reserves and resources as reported by Oil and Gas Companies. Approved by the SPE Board in March 2007, this system for defining reserves and resources was developed by an international group of reserves evaluation experts and endorsed by the World Petroleum Council, the American Association of Petroleum Geologists, the Society of Petroleum Evaluation Engineers, and the Society of Exploration Geophysicists. (Updated 2007)