IR Regulation and Compliance Essentials
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. This was aimed to help the FCAs broader efforts to revitalise the UK capital markets, attracting more diverse companies to UK capital markets and stimulate economic growth
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!
Who is this course for?
The IR Society recommends all members attend this course at least once to ensure they understand the legislative environment in which they work.
This 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.
This course is ideal for:
- CIR candidates
- New and experienced IROs
- Corporate communications and financial PR professionals
- Company secretaries involved in IR activities will also benefit from this course
Programme
- 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
* To ensure the best learning experience, this course runs with a minimum number of delegates. If the session cannot go ahead, we will contact you promptly to arrange a new date or discuss alternative options.
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 the updated UK Listing rules: IPOs, Prospectus, Secondary listings, M&A, etc.
- An understanding of stock exchange obligations
