Compliance is one of the core functions of the company secretary. This new two-part course looks at some of the most important components of the compliance role. This course may be taken on its own or together with Part 1 on the same day.
Part 2 focuses on compliance issues for listed and quoted (AIM) companies, including updates on any new or recent developments.
The course is aimed at all those already engaged in company secretarial work and those wishing to undertake such work, including existing company secretaries and governance professionals as well as accountants and lawyers looking to extend their practice areas.
The course includes some interactive elements, in which you will be encouraged to participate and describe your own experiences relating to the topics under consideration.
Continuing obligations for listed companies under the Financial Conduct Authority’s Listing Rules and Disclosure and Transparency Rules, and for AIM companies under the AIM Rules for Companies
Governance regimes for listed and AIM companies, including the UK Corporate Governance Code and the QCA’s Corporate Governance Code for SMEs
The application of rules under the Market Abuse Regulation to listed and AIM companies, including procedures for ensuring the timely announcement of information to the market, the maintenance of ‘insider lists’ and the institution of a dealing code for Persons Discharging Managerial Responsibilities (PDMRs) and other company employees