Stock Exchange Notices and guidance
Rules of the London Stock Exchange ("the rules")
The rules are updated from time to time. Amendments to the rules are notified to the market through Stock Exchange Notices and are incorporated into a revised version of the rules. The revised rules are published on the effective date of the rule change (which is noted in the associated Stock Exchange Notice and on the front cover of the rules). All amendments to the rules have their effective date and the reference number of the associated Stock Exchange Notice noted in the text.
Stock Exchange Notices
Stock Exchange Notices are issued throughout the year and contain information on a number of regulatory issues. These can include the consultation and confirmation of proposed changes to the rules, as described above. They may also contain regulatory and operational information and guidance in relation to specific market issues. Go to Stock Exchange Notices
to view notices issued by the Exchange.
The Exchange issues a periodic newsletter called Compliance Update (previously called Regulation Briefing) to assist member firm personnel that have responsibility for their firm's compliance with the Exchange's rules. It is sent to everyone who is registered to receive Stock Exchange Notices.
Compliance Update is available in electronic form with links to key articles on the Exchange's website. Therefore you only need to read those articles that are of interest to you. The content includes information about investigations that the Exchange has carried out, including those that have not necessarily resulted in disciplinary action. The aim of this is to give compliance officers examples of the kind of behaviour that the Exchange is focusing on from a regulatory perspective.
It provides clarification on existing rules (and guidance contained there-in) where formal consultation is not required - these changes will then be included in periodic rule ‘sweep-ups’.
Finally it will include summaries of other current Exchange projects with links to the relevant areas of the website. This will help to keep compliance officers up-to-date on projects which, although not necessarily driven by regulatory requirements, may be of interest. Go to Compliance Update
to view all updates issued by the Exchange.
Member firms with queries regarding the rules, Stock Exchange Notices or Compliance Update should contact the Market Regulation & Policy team on +44 (0)20 7797 2190 or STX 32190."