The Exchange market authority carries out risk assessments and reviews of all issuers and conducts surveillance to maintain market integrity. This combines with a continuing obligations regime, utilising an online portal, where there is an easy and speedy notification process, with requirements that are sensible, ensure investor protection and uphold the integrity of the market.
Every issuer must appoint two authorised representatives, who may be individuals from the issuer’s Sponsor or Listing Agent, to be the issuer’s principal point of contact with the market authority on an ongoing basis.
There is a requirement to notify the Exchange, the market and the holder of the listed securities of certain information, which includes: market data; routine changes to offering documents; intended/impending corporate actions; AGM/EGM notices and resolutions; annual and interim accounts; changes related to directors; and changes related to auditors and advisers.
Breaches of the Listing Rules may lead to enforcement action and persistent breaches may lead to administrative fees, suspension or ultimately the delisting of the issuer’s securities.
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