IR regulation and compliance essentials - Module Two: Transactions and Listing Obligations
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. This two day course provides an analysis of current legislation and forthcoming changes.
Day One 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.
Please be aware that this is Module Two of a two module course. To ensure you are fully equiped with the IR toolkit to comply with regulation, please also attend IR regulation and compliance essentials - Module One.
What will I gain?
Attendees will learn how the legal compliance requirements for IR communications fit together, how they are applied in practice, and what best practice standards are. This course is aimed at both new and experienced IR, corporate communications and financial PR professionals. This course would also be useful for others involved in IR such as company secretaries. 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.
Really good but a huge topic. Would happily have spent two days on this module!
There was a lot of material to cover and we did - now I will need some time to process and put into practice!
Interesting content, a lot to take in
Course tutor: Diane Faulks
Diane is an Investor Relations specialist with over 25 years’ experience gained in a variety of disciplines including corporate in-house, consultancy and banking. Regulation has been a foundation of all these roles working alongside lawyers, brokers and financial advisors. Over her 10 years of in-house roles she was involved in IPO/secondary offerings, M&A and US listings. During 14 years with Citi Depositary Receipts’ Diane 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.
- 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
Core IR Skills
15 November 2017
31 January 2018
12 April 2018
6 September 2018
8 November 2018
- IR Society members (£419 + VAT)
- IR Society Premium members (course allowance included in membership package)
- Non-members (£599 + VAT)