Jurisdiction(s):
United Kingdom

Related legal acts

Key definition

Insider list definition

What does Insider list mean? An insider list is the confidential record kept by an issuer and by anyone acting on its behalf (such as advisers) of every individual who has access to inside information in the course of their work. It is a compliance tool used to control, monitor and evidence the handling of inside information and to deter unlawful disclosure and insider dealing. The obligation to draw up and maintain insider lists is set out in Article 18 of the Market Abuse Regulation: in the UK, the retained UK MAR (Regulation (EU) 596/2014, as onshored) and, in Ireland, EU MAR....

Insider lists under UK MAR: issuer and third-party obligations, format, updating, FCA expectations, AIM/SME relaxations, retention, sanctions and data protection

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Practice notes

This Practice Note outlines the duty on an issuer with Financial instruments admitted to trading on certain UK trading venues (or seeking such admission) to maintain an Insider list under the UK Market Abuse Regulation (Assimilated Regulation (EU) No 596/2014), to safeguard and control the circulation of inside information. This duty equally applies to any person acting for the issuer or on their account. Companies with securities admitted to trading on the Main Market of the London Stock Exchange, as well as those on AIM, fall within the scope of the insider list regime, although the rules for AIM issuers are marginally more flexible...

Background

The EU Market Abuse Regulation applied across the EU from 3 July 2016. Its objective was to create a common framework for insider dealing, the unlawful disclosure of inside information and market manipulation (collectively, market abuse), together with preventative measures designed to preserve the integrity of EU financial markets and to strengthen investor protection and confidence in those markets. At the end of the Brexit implementation period (11 pm UK time on 31 December 2020), the EU Market Abuse...

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Web page updated on 21/05/2026

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