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FCA consultation paper tracker—2017 [Archived] This tracker sets out the consultation papers published by Financial Conduct Authority (FCA) in 2017, along with the publication of any subsequent rules and guidance. For details of FCA consultation papers from other years, see: FCA consultation paper tracker. For details of Prudential Regulation authority (PRA) and Financial Services Authority (FSA) consultation papers, see: • PRA consultation paper tracker • FSA consultation paper tracker [Archived] Topic area Consultation Paper Description Publication date End of consultation period Policy Statement/ Handbook Notice Payment systems and services CP17/44: PSR regulatory fees The Payment Systems Regulator (PSR) and the FCA published a consultation and decision paper setting out their policy decision on the way they will collect PSR regulatory fees in 2018/19 and in subsequent years, and consulting further on the proposed fees allocation method. 15 December 2017 26 January 2018 Handbook Notice 53 (23 March 2018)CP18/8 (23 March 2018) Consumer credit, mortgage and home finance CP17/43: Credit card market study: Persistent debt...
Eligibility requirements—premium listing, standard listing, High Growth segment and AIM—prior to 29 July 2024 A significant restructuring of the UK listing regime came into effect on 29 July 2024 which included the removal of the premium and standard listing segments and the creation of a single listing category for equity shares in commercial companies. The commercial companies category is heavily disclosure-based and sits alongside other listing categories such as the shell companies, secondary listing and closed ended investment fund categories.  The UK Listing Rules sourcebook came into force to implement the changes and the Listing Rules sourcebook was revoked. In addition, the London Stock Exchange closed the High Growth segment. For further information see Practice Note: Reform of the UK listing regime—fundamentals. This checklist reflects the listing regime prior to 29 July 2024 and has been retained for reference purposes. This checklist compares the eligibility requirements for a former premium listing, a former standard listing, an admission to the former High Growth Segment of the Main Market and admission to trading...
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UK trade mark application—flowchart This Flowchart provides an overview of the UK trade mark application process. The first stage covers pre-application steps including obtaining clearance searches and considering barriers to registration. The second stage outlines the process beginning with submission of a trade mark application to the UK Intellectual Property Office (IPO) and ending with registration of the trade mark. Step 1—pre-application steps Relevant materials: • Trade mark transactions and management—overview • Practice Note: Trade mark registration—strategy • Practice Note: Absolute and relative grounds for refusal to register a UK trade mark • Practice Note: Managing a trade mark portfolio • Precedent: Trade mark search sheet • Precedent: Trade mark filing sheet • Practice Note: Trade mark coexistence agreements • Q&A: What do I need to know
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Patents tracker—UK This Practice Note tracks the progress of judgments, legislative proposals and current consultations, guidance and reports related to patents and trade secrets in the UK. For information about judgments, legislative proposals and current consultations, guidance and reports related to patents and trade secrets in the EU, see Practice Note: Patents tracker—EU. For archived items on patents, see Practice Notes: Patents tracker—UK 2022–2023 [Archived] and Patents tracker 2019–2021 [Archived]. Legislation, consultations, guidance and reports What's happening? When? Find out more Civil Justice Council (CJC) final report on pre-action protocols (PAPs) 20 November 2024: Report published (second phase)22 August 2023: Report published (first phase) The CJC has conducted an extensive review of the PAPs and published a two-phase report.The first phase examined the role of PAPs in the civil justice system and explored the potential for digitalising pre-action processes. It also proposed the creation of a new General PAP.Further information:—LNB News 22/08/2023 25—Press release—Report (first phase)In the second phase report, the CJC proposed significant revisions to several PAPs and...
Introduction to intellectual property rights on insolvency For many businesses, intellectual property rights (IPRs) represent an increasingly valuable asset class. While modern technology businesses, pharmaceutical companies and industrial enterprises may be among those most synonymous with having portfolios of IPR-rich assets, even the most unlikely of companies may have rights which are intrinsic to them and without which they would be unable to operate (or to do so as efficiently or as profitably) or would be significantly devalued. As a class, IPRs are broad and varied. Depending on the context, there are rights beyond the best known (patents, trade marks and copyright) which may—or may not—be considered strictly to be IPRs, such as database rights, websites and their associated domain names, goodwill and contractual rights allied to IPRs. For further detail on the main types of intellectual property rights which an insolvency practitioner as office holder may encounter, see Practice Note: IP right comparison table. Patents, design rights and trade marks depend for their existence and...
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Company instructions to transfer agent (US IPO) [COMPANY LETTERHEAD] [insert name of Transfer Agent] [insert name of addressee] [insert name of addressee] Attention: [insert name of individual] Dear [insert text]: Reference is made to that certain Underwriting Agreement dated [date] (the Underwriting Agreement) by and among [insert Company name], a [insert nature of the company] (the Company), [the selling stockholders listed on Schedule [insert Schedule number] to the Underwriting Agreement (the Selling Stockholders),] and [insert name of representative], as representative (the "Representative") of the several underwriters named on Schedule [__] to the Underwriting Agreement (the Underwriters). Pursuant to this Underwriting Agreement, the Company [and the Selling Stockholders ] [has OR have] agreed to sell, and the Underwriters have agreed to purchase, shares of the Company's common stock, par value [£ insert value of shares] per share (the Common
Outline timetable for an AIM admission This precedent timetable shows the main steps involved in an AIM IPO (where a UK company is applying for the initial admission of its shares to trading on AIM) and no prospectus is required. Impact Day – 12 weeks Event Responsibility All parties meeting All Circulate timetable Nomad Circulate draft list of documents and list of parties Nomad Circulate draft engagement letters Nomad Circulate financial due diligence questionnaire and legal due diligence questionnaire Reporting accountants and Company solicitors Impact Day — 11 weeks Event Responsibility Circulate memorandum on directors’ responsibilities and potential liabilities in respect of an AIM admission document Company solicitors Circulate memorandum on the responsibilities and continuing obligations of a director of an AIM company Company solicitors Circulate directors’ questionnaires, directors’ powers of attorney and directors’ responsibility letters Company solicitors/Nomad Return response to financial due diligence questionnaire and legal due diligence questionnaire Company Commence financial due diligence (including financial procedures review) Reporting accountants Commence legal due diligence Company...
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When is a private company allowed to offer shares to the public? Would an offer to several investors or a group of high net worth individuals be construed as an offer to the public? Prohibition of public offers by private company (Companies Act 2006, Part 20, Chapter 1) Under section 755(1) of the Companies Act 2006 (CA 2006) a private limited company must not: • offer to the public any securities (ie shares or debentures) of the company, or • allot or agree to allot any securities of the company with a view to their being offered to the public Further CA 2006, s 755(2) confirms that, unless proved otherwise, an allotment or agreement to allot securities will be presumed to be made with a view to their being offered to the public if an offer of the securities (or any of them) to the public is made: • within six months after the allotment or agreement to allot, or • before the receipt by the...
What is a cornerstone investor and how popular are they in UK IPOs? A cornerstone investor is an investor who commits to taking a fixed value of shares (often a sizeable amount) in an IPO at an early stage in the IPO process and before the main investor roadshow and bookbuilding commence. The IPO process typically begins with a series of early look meetings with a small number of potential investors before the official launch of the IPO in order to gauge market interest in the company and identify whether an IPO is appropriate. If the company decides to go ahead, it will go through a ‘pilot fishing’ exercise which involves senior management holding meetings with more prospective institutional investors. At this point, the company may identify some potential cornerstone investors who are given access to more information on the company and more management time (often referred to as ‘deep dive’ meetings). Next comes a period of investor education during which analysts speak to investors about...
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This week’s edition of IP weekly highlights includes: a hand-picked summary of news analysis, updates and new content from the world of IP. These highlights focus on the key rights of copyright and associated rights, database rights, trade marks and passing off, designs, and patents, as well as covering issues relating to confidential information, know-how R&D and IP disputes all mainly from a UK and European perspective.
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