Jurisdiction(s):
United Kingdom

Related legal acts

Key definition

Securities definition

What does Securities mean? In legal practice, securities are tradable instruments that evidence ownership or debt, typically shares, bonds/debentures, and related instruments (for example, warrants), used in corporate finance and capital markets transactions. The term is used across multiple legal contexts and is often defined by statute. In the UK, under the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (RAO), “securities” denotes a grouping of specified investments (for example, shares, debentures, government and public securities, warrants and certificates representing certain securities), distinct from “contractually based investments” and “other investments.” Separately, UK regulation and EU-derived frameworks use “transferable securities” (a MiFID/Prospectus...

Precedent UK MAR Dealing Procedures Manual for UK-listed Companies: PDMR/Employee Dealings, Clearance, Closed-Period Exceptions, Insider Lists and Share Plan Guidance

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Precedents

This precedent memorandum outlines the processes to be observed by a listed company and its subsidiaries when transacting in the company’s Securities. Its aim is to support the company in meeting its duties under the UK Market Abuse Regulation (Assimilated Regulation (EU) 596/2014) and to confirm that appropriate systems and procedures exist to help persons discharging managerial responsibilities (PDMRs) and other staff within the company and its subsidiaries fulfil their responsibilities under the company’s Dealing Code and the UK Market Abuse Regulation. This precedent arises from an industry‑led creation of codes, guidance and best practice produced by The Chartered Governance Institute (formerly known as ICSA: The Governance Institute), GC100, the Quoted Companies Alliance and other market participants. Additionally, the memorandum addresses dealing processes across the company and its subsidiaries, associated clearance requirements and potential refusal circumstances.

Index No. Content Page

Introduction [ page number ]
Part A—General dealing requirements [ page number ]
1. Dealings by Restricted Persons [ page number ]
2. Identifying Restricted Persons [ page number ]
3. Clearance procedure [ page number ]
4. Circumstances for refusal [ page number ]
5. Trading Plans and Investment Programmes [ page number ]
6. ...

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Web page updated on 22/05/2026

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