IR regulation and compliance essentials

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For IR professionals, compliance with rules and guidelines is an essential part of the job. Whether it's 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.

The IR Society recommends all members attend this course at least once to ensure they understand the legislative environment in which they work. 

Module One of this two-day course will provide a foundation IR Toolkit, covering future themes for the profession and pending regulatory / legislative changes.  The tutor uses real-life case studies to illustrate key issues.

Module Two looks at more specific areas and situations, such as IPOs, more general transactions and the US market. Attendees will learn how the legal and compliance requirements for IR communications fit together and how they are applied in practice - with real-life examples to illustrate requirements.  It also covers the provisions of the Takeover Code and provides a good overview of the LSE market.

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
• An overview of UK Listing rules: IPOs, Prospectus, Secondary listings, M&A, etc.
• An understanding of stock exchange obligations

Who should attend?

• CIR candidates
• New and experienced IROs
• Corporate communications and financial PR professionals 
• Company secretaries involved in IR activities will also benefit from this 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.

Course tutor: Lorraine Rees - MD, IR-connect

Lorraine established the IR-connect consultancy in 2015 which specialises in IR for IPOs, and personalised IR mentoring for executive and non-executive directors, IR Directors and IROs. She runs a number of courses for the IR Society including the Diploma modules. Prior to setting up her consultancy company, she was IR Director at Standard Life plc, Head of IR at The Phoenix Group, and an equity analyst at Exane BNP Paribas. She originally trained as a chartered accountant, and has also worked in strategy, corporate finance, private equity and banking.

Programme

Module One

• 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 Two

• ​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

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