The London Stock Exchange has in the past issued a number of Compliance Updates. These took the form of newsletters containing brief, specific articles/commentary intended to assist compliance officers and other personnel who have responsibility for their member firm’s compliance with the Rules of the London Stock Exchange. Announcements about the publication of new Compliance Updates were emailed to individuals who had registered to receive such notifications via the Exchange’s website.
In June 2016, the Exchange replaced ‘Compliance Update’ with ‘Market Matters’, moving from a newsletter to the online publication of individual articles on a dedicated webpage. Market Matters articles do not constitute formal exchange guidance; this is communicated via Stock Exchange Notices and/or incorporated within the rules. Market Matters articles are intended to give examples of the kind of behaviour the Exchange is focusing on from a regulatory perspective; outline the lessons to be learned from market events or from Exchange disciplinary action; and provide commentary on various aspects of compliance with Exchange rules and related matters.
To subscribe to Market Matters, please follow the link on the Market Matters page.
Member firms with queries regarding the Rules, Stock Exchange Notices or Market Matters should contact the Rules & Compliance team on +44 (0)20 7797 2190 or STX 32190.
Stock Exchange Notices are issued periodically throughout the year and contain information on a number of regulatory issues. They also include amendments to existing rules and guidance...
Click here to access Market Matters
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