Jurisdiction(s):
United Kingdom

Key definition

Continuing obligations definition

What does Continuing obligations mean? In capital markets practice, continuing obligations are the ongoing compliance duties a company must meet after its securities are admitted to listing or trading. In the UK, listed companies’ obligations arise principally under the FCA’s Listing rules, the Disclosure Guidance and Transparency Rules (DTR) and the UK Market Abuse Regulation (UK MAR). On AIM, they are set by the AIM Rules for Companies. In Ireland, equivalent requirements are found in the Euronext Dublin Listing Rules, the Transparency Regulations/DTR and the EU Market Abuse Regulation (MAR). The term is descriptive rather than a single statutory definition; the...

UK AIM Companies: Continuing Obligations—Disclosure, Market Abuse, Corporate Transactions, PDMRs, DTR 5, Governance, Accounts and Enforcement

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Practice notes

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continuing obligations of an aim company

A company admitted to trading on AIM (an AIM company) is required to observe a set of ongoing requirements contained in the aim rules for Companies (AIM Rules), as issued by London Stock Exchange plc (LSE). Such a company should also take account of the AIM Rules for Nominated Advisers, which outline the duties and expectations of its nominated adviser, together with the AIM Disciplinary Procedures and Appeals Handbook in full. There are further applicable legal and regulatory regimes which include the Companies Act 2006 (CA 2006), the Financial Services and Markets Act 2000 (FSMA 2000), the Financial Services Act 2012 (FSA 2012), the City Code on Takeovers and Mergers (the Takeover Code), certain relevant sections of the Disclosure Guidance and Transparency rules (DTR), and the UK Market Abuse Regulation (Assimilated Regulation (EU) No 596/2014). This Practice Note concentrates on the continuing obligations for an AIM company incorporated in the UK under the AIM Rules, and on guidance to those Rules published by the AIM Regulation team in Inside AIM, as set out therein...

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Web page updated on 28/05/2026

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