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.


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