IR regulation and compliance essentials - Module One and Module Two

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. Please note all dates shown are FIRST DATE OF TWO DAY COURSE.

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. 

It is also relevant to anyone studying for the CIR qualification.

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?

Module One

  • 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

Module Two

  • An overview of EU Listing rules: IPOs, Prospectus, Secondary listings, takeovers, etc.
  • An understanding of stock exchange obligations
  • An opportunity to discuss the practical implications of these rules with a guest speaker

"Really good session - case studies particularly helpful at bringing it to life."

“ The course made my interest in IR increase hugely – all my objectives were met and there were a lot of high quality discussions. A lot covered, and delivered very well, particularly on topics which could be considered dry!”

"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 - Module 1


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.

Course tutor: Diane Faulks - Module 2


Diane is an Investor Relations specialist with over 25 years’ experience gained in a variety of disciplines including corporate in-house, consultancy and banking. During 10 years of in-house roles she was involved in shareholder ID, targeting and the development of a proactive campaign to reshape a large retail (government privatised) shareholder base to an international institutional base particularly within North America. Her consultancy roles encouraged best use of technology to identify, target and communicate with institutional investors. Diane spent over 14 years with Citi Depositary Receipts’ where she advised clients on cross border communication during listing, capital raising and shareholder expansion. She has been a member of the IR Society since 1994, a board director from 2000-2006 and Chairman of the Society from 2003-2005.

Guest speaker: Lisa Williams

Head of IR, EMEA - Citi Depositary Receipts Services

Lisa joined Citi’s Depositary Receipt Group in December 2014 as Head of Investor Relations Advisory for EMEA.  Lisa has worked investor relations for 15 years and has experience of many aspects of corporate IR including equity capital raising, defence, management transition, shareholder activism, credit ratings and debt IR.  She was Director of Investor Relations for FTSE-250 retail brand Debenhams plc from 2007 to 2014 and for Rentokil Initial plc between 2005 and 2007 and Cookson Group plc between 1999 and 2015.  Lisa holds an LLB Law from the University of London.


Module 1

  • 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

Module 2 

  • ​Transactions and Listing Obligations
  • Introduction to current regulatory framework
  • IPO Process and market choice
  • Listing rules and Prospectus rules
  • IPO timetable, team and responsibilities
  • Transactions including take-overs and mergers & acquisitions
  • Role of the Takeover Panel
  • Overview of the US market regulations effecting IR
  • A guest speaker addressing how the IRO works during these times of capital markets activity
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Course level

Core IR Skills


Central London

CPD points


Course dates

11 April 2018
9.00am to 5.00pm

5 September 2018
9.00am to 5.00pm

7 November 2018
9.00am to 5.00pm

  • IR Society members (£898 + VAT)
  • IR Society Premium members (course allowance included in membership package)
  • Non-members (£1198 + VAT)
Book now

IR Society's 2018 annual conference, IR: Future-proofing business, will take place in London on Tuesday 19 June 201……

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