Listing, Prospectus and Transparency Rules and MAR disclosure requirements: enforcement and remedies

An overview of the FCA's enforcement powers and remedies available when an issuer is in breach of its obligations under the Listing Rules, Prospectus Rules, Transparency Rules and the disclosure requirements under Articles 17, 18 and 19 of the Market Abuse Regulation (Regulation 596/2014). This note covers the sanctions for breach, warning notices and financial penalties.


The full text of this resource is available by logging in or by requesting a trial. If you have any questions, please contact us or your Practical Law Account Executive.

Free trial

A free trial will give you:

Unlimited access to our online legal know-how services during the trial period
Full training and support
Four issues of Practical Law The Journal, the companion to Practical Law online
Weekly update e-mails on current legal developments in your practice area

Log in using Practical Law username

Only use this login if you have not set up OnePass for Practical Law

{ "siteName" : "PLC", "objType" : "PLC_Doc_C", "objID" : "1247243441414", "objName" : "LR DTR PR enforcement and remedies", "userID" : "2", "objUrl" : "", "pageType" : "Resource", "academicUserID" : "", "contentAccessed" : "false", "analyticsPermCookie" : "23eeb4667:157ffde6601:-62d9", "analyticsSessionCookie" : "23eeb4667:157ffde6601:-62d8", "statisticSensorPath" : "" }