Financial Promotion
This part of the topic index contains resources on financial promotion. Please select the resource that you require by clicking on the relevant tab below.
7
resources
These resources are maintained, meaning that we monitor developments on a regular
basis and update them as soon as possible.
| 1 | Financial promotion: overview An overview of the UK financial promotion regime under the Financial Services and Markets Act 2000. It includes a summary of the restrictions on financial promotion in the UK under FSMA; exemptions to those restrictions as set out in secondary legislation; and penalties for breaching the financial promotion restriction. | Practice note: overview | Maintained |
| 2 | FSMA overview An overview of the Financial Services and Markets Act 2000 (FSMA). | Practice note: overview | Maintained |
| 3 | Hot topics: European venture capital funds regime This practice note provides a high level overview of the key regulatory developments relating to the European Commission's work on creating a European regime for venture capital funds (VCFs). The key primary source material table in this document contains links to key primary material and related PLC Financial Services Legal updates. It is not intended to be an exhaustive list of all relevant materials published by interested parties. | Practice note: overview | Maintained |
| 4 | Financial promotion: useful exemptions for corporate practice An outline of some exemptions from the financial promotion regime which may be of use in corporate practice. | Practice notes | Maintained |
| 5 | Intention to float announcements (ITFs) An overview of intention to float announcements (ITFs) that outlines the key content of an ITF and the factors that may determine whether and when an ITF is published. The note also considers the main legal considerations that arise when publishing an ITF and practical steps to be taken to address these considerations. This note is relevant in the context of an IPO on the Main Market of the London Stock Exchange (including offerings that are concurrently extended into the US under Rule 144A of the US Securities Act of 1933, or sold outside the US pursuant to Regulation S under the Securities Act). The authors wish to thank Peter King, Partner at Weil, Gotshal & Manges, and Peter Castellon, Partner at Proskauer, for their assistance. | Practice notes | Maintained |
| 6 | Marketing an initial public offering (IPO) A description of the marketing involved in an initial public offering (IPO). | Practice notes | Maintained |
| 7 | Offers for unquoted companies This note identifies the circumstances in which, even where the target company is private, or where it is public but not quoted, it may be necessary or desirable for an offer to be made. It analyses the provisions of relevant legislation and The City Code on Takeovers and Mergers which require special consideration in the context of such an offer. | Practice notes | Maintained |