Publication requirements under disclosure rules meaning

Public.Resource.Org and Right to Know v Commission and Others, Case C-588/21 What are the practical implications of this case? Although the dispute concerned four particular harmonised standards, the Court’s reasoning applies more widely to other harmonised standards as well. Where such standards are mandatory or create a presumption of conformity with safety requirements, there is a clear public interest in their disclosure, so the European Commission cannot refuse access by invoking the Article 4(2) exception in Regulation (EC) 1049/2001. Consequently, companies will be able to obtain harmonised standards to verify and ensure compliance with EU legislation without paying a fee; however, this may influence the business model of European standardisation organisations. What was the background? Under the European product safety rules, certain products can only be placed on the EU market if they satisfy safety requirements. Showing compliance with those requirements can often be an onerous exercise. Accordingly, the European legislator has provided for specific products (including, in this case, toys) that where a manufacturer follows...

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In this issue: UK, EU and international regulators and bodies Prudential requirements Financial crime and sanctions Investigations, enforcement and discipline Dispute resolution for financial services lawyers Regulation of derivatives Sustainable finance and ESG Banks and mutuals Regulation of insurance Fintech and cryptoassets Regulation of AI in FS Amendments to EEA Agreement Annex IX (Financial Services) Financial Services Enforcement Database Daily and weekly news alerts Intraday news alerts New and updated content Dates for your diary UK, EU and international regulators and bodies Council of the EU agrees position on simplifying financial reporting requirements The Council of the European Union has settled on a position on a proposal to streamline specific reporting duties across financial services and investment support. The initiative refreshes existing provisions on information sharing between the European Supervisory Authorities (ESAs) and other supervisors in the financial sector, with the objective of easing the administrative...

Chapter 9 of the UK Listing Rules (UKLRs) Chapter 9 of the Financial Conduct Authority (FCA) UK Listing Rules (UKLRs) sets out continuing obligations for any company that has a listing of equity shares in the equity shares (commercial companies) category, which the company must comply with to retain its admission to the Official List (terms in bold are defined in the FCA Handbook Glossary). For further detail on companies with a listing of equity shares in the equity shares (commercial companies) category, refer to Practice Note: The UK listing regime for more information. Under UKLR 6.6 R, a company with a listing of equity shares in the equity shares (commercial companies) category must include specified financial disclosures within its annual financial report. The UKLR 6.6 R obligations for both UK and overseas issuers with a listing of equity shares in the equity shares (commercial companies) category are also considered below, together with an overview of the UKLRs relevant to annual financial reports of other listed bodies, and a...

This Resource Note summarises the principal provisions of Chapter 4 of the Disclosure Guidance and Transparency Rules (DTR 4), which addresses the periodic financial reporting duties for an issuer whose transferable securities are admitted to trading on a UK regulated market. It signposts pertinent commentary, analysis and materials to support the interpretation of, and deliver practical guidance on the application of, DTR 4. Materials considered in this Resource Note include, where applicable: the Financial Conduct Authority (FCA) Handbook FCA guidance in its Knowledge Base—Procedural notes and Technical notes (which amount to formal guidance and are binding on the FCA) FCA consultation papers, discussion papers, policy statements, feedback statements and warnings Primary Market Bulletins and other FCA publications former UKLA technical and procedural notes and the UKLA's newsletter List!, where still relevant to the interpretation or application of a provision assimilated EU legislation EU Directives and EU Regulations, where relevant to interpretation of a provision Lexis+® UK analysis and resources...

This Resource Note This Resource Note summarises the key provisions in Rules 17, 18 and 19 of the AIM Rules for Companies (AIM Rules). These rules address disclosure of miscellaneous information and the publication of half-yearly reports and annual accounts by an AIM company. It also signposts relevant materials, commentary and guidance from the London Stock Exchange (LSE), alongside Lexis+® UK analysis and resources, to deliver practical guidance on interpreting and applying Rules 17, 18 and 19 of the AIM Rules...