IR regulation and compliance essentials - Module Two

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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.

Module 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.

Please note, we recommend that both module one and two are completed together.

Who should attend?

• The IR Society recommends all members to attend this course at least once to ensure they understand the legislative environment in which they work
• CIR candidates
• New and experienced IRO's, corporate communications and financial PR professionals 
• Company seceraties who are involved in IR activities will also benefit from this course

What will I gain?

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

Course tutor: Diane Faulks

Independent

 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.

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.

Programme

• ​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