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Making a complaint


What is the London Stock Exchange?

The London Stock Exchange is the organisation which provides the principal markets for the issue of, and the buying and selling of, publicly quoted shares in the UK. It brings companies and investors together, provides rules to ensure the markets work efficiently and fairly, and monitors the operation of its markets to ensure that its rules are being obeyed. The Exchange also provides markets in corporate loan stocks, Government (gilt-edged) securities and international securities.

Companies whose shares are traded on the Exchange are known, in general, as "quoted companies" and may be admitted to the main market of "listed" shares and other securities, or to AIM (the Alternative Investment Market). Listed securities are those which have been admitted to the Official List by the UK Listing Authority (now a division of the Financial Conduct Authority). Stockbroking firms and other securities houses, if they are "members" of the Exchange may trade directly in shares and securities on the Exchange, on behalf of their clients. The Exchange makes sure that its quoted companies and firms which are members comply with the Admission and Disclosure Standards or the Rules of the London Stock Exchange, as appropriate.

The Admission and Disclosure Standards cover the admission to trading of listed shares and securities, and companies' ongoing disclosure standards towards their shareholders. Companies whose shares are traded on AIM are covered separately by the AIM Rules. The Rules of the London Stock Exchange cover the way shares are traded on the Exchange's markets by firms which are members.

These pages outline the role of the Exchange and provide guidance on those issues which fall to the Exchange to regulate, and those which may be appropriate for consideration by other regulatory or dispute resolution organisations. They detail how to make a complaint to the Exchange, what we can and cannot do, some common causes of complaint, and where these should be addressed. Finally, they explain how to take your complaint further if you are not satisfied with the Exchange's response.

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