Rules & regulations


The attractiveness of the Exchange's markets is maintained by providing an efficient and well regulated market place. As a Recognised Investment Exchange (RIE), the Exchange also has to satisfy the requirements detailed in the Financial Services Authority's RIE and RCH Sourcebook. Orderly markets are maintained via rules, guidance and through the monitoring of trading and market activity. Stock Exchange Notices disseminate amendments to market rules and guidance.

 

The Exchange's primary aim is to provide issuers, intermediaries and investors with attractive, efficient and well-regulated markets in which to raise capital and fulfil investment and trading requirements.

 

This section provides details about the regulatory role of the London Stock Exchange as well as Stock Exchange Notices, Regulatory Guides and Making a complaint.

 

The Rules of the London Stock Exchange and associated guidance.


Rulebook Review 2007
Information and topics of discussion.
 

Regulatory forms and agreements

A selection of the most widely used regulatory forms and agreements.

 

Stock Exchange Notices

Contains information on a range of regulatory issues including amendments to Rules and guidance.

 

Compliance Update

Provides information for member firms on a variety of regulatory issues.

 

Making a complaint

This section explains what to do if you have a complaint and how to make it. This is most likely to be useful to private investors.

 

Buying in

Provides detailed guidance of the procedures, costs and timescales associated with buying-in.


Dividend Procedure Timetable 2009
 

 

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