IR regulation and compliance essentials - Module One: IR toolkit to comply with regulation
For IR professionals, compliance with rules and guidelines is an essential part of the job. Whether it is in financial reporting, market disclosures, compliance with relevant listing regimes, the treatment of inside information, or in the context of a transaction, mistakes are costly – not least in reputational terms.
Day One of this two-day course will provide a basic IR Toolkit, covering the fundamental areas of regulation and compliance that affect IR, while Day Two looks at more specific areas and situations, such as IPOs and transactions. Attendees will learn how the legal and compliance requirements for IR communications fit together, how they are applied in practice, and what best practice standards are.
The Society recommends all members to attend this course at least once to ensure they understand the legislative environment in which they work.
What will I gain?
- An overview of the fundamental areas of regulation and compliance that affect IR
- An understanding of the areas of regulation with a day-to-day impact on IR
- A toolkit for dealing with price sensitive information, disclosure requirements, transactions and listing obligations and the financial and reporting calendar
"Really good session - case studies particularly helpful at bringing it to life."
"Really helpful and added context to course materials - case studies and discussions really helpful."
"Very useful overview of the regulations, especially as a newcomer to the IR function, and bringing my knowledge up to date. I especially liked all the real life examples - companies, fines, outcomes of tougher regulation. Excellent course!"
Course tutor: Deborah Morton-Dare
Deborah specialises in financial training for all levels from beginners to advanced. She presents a comprehensive range of courses to a diverse range of corporate clients and financial institutions and specialises in making complex technical subjects comprehensible.
Deborah qualified as a Chartered Accountant with Arthur Young and then worked in Corporate Finance gaining wide ranging experience in a variety of corporate and financial institutions. She then worked as a financial consultant to companies assisting them in raising finance and structuring.
- Understanding the regulatory framework
- Role of a Sponsor
- Insider dealing and market abuse; how to deal with price sensitive information
- Disclosure Guidance and Transparency Rules (DTRs)– continuing obligations
- Dealing with the sell-side
- Knowing your shareholders
- Financial calendar and reporting
- Recent case studies and current issues
Please be aware that this is Module One of a two module course. To ensure you are fully up to date with the latest Transactions and Listing Obligations please also attend IR regulation and compliance essentials - Module Two.