AIM Regulation - November 2019
days to go
A focus on the regulatory requirements, trends, developments and best practice
The emphasis of this seminar will be on the practical implications of the regulatory and governance requirements for AIM companies, demonstrating how companies should comply and where good market practices add value. Leading capital market experts will provide their perspective and guidance via a series of presentations and practical worked examples.
AIM is London Stock Exchange Group’s market for smaller, growing companies and is the most successful growth market in the world. Since its launch in 1995, close to 4,000 companies from across the globe have chosen to join AIM. Powering the companies of tomorrow, AIM continues to help smaller and growing companies raise the capital needed for expansion. AIM is renowned worldwide for its principles-based approach to regulation which is uniquely suited to smaller, fast growth companies. This interactive half day seminar sets out the rules and responsibilities in relation to AIM companies and their obligations as listed entities.
The course builds a framework for understanding the following:
- The role of the Nomad in the run-up to flotation and on an ongoing basis
- Meeting requirements of the latest rules and regulations
- Governance and reporting guidance for AIM companies
Who should attend?
This is an ideal course for professionals from advisory firms, newly quoted AIM companies and companies seeking to float on AIM. It will be of direct relevance for the following audiences and institutions:
- Companies considering an AIM flotation
- Lawyers and accountants advising AIM companies
- Senior management from AIM companies
- New joiners to AIM companies
- PR, IR and corporate broking professionals working with AIM clients
- Audit professionals responsible for auditing AIM companies
- Advisory firms responsible for preparing international companies for flotation
CPD points: This programme attracts 3 CPD points.
08:40 - 09:00 - Registration
Registration and coffee
09:00 - Chair’s welcome
- Overview and objectives of the seminar.
09.10 Putting AIM into context
- History, current picture, eligibility criteria and differences to Main market
- Regulatory framework and AIM governance case studies
10.00 The role of the NOMAD and Broker
- NOMAD eligibility criteria and continuing obligations
11.20 AIM Rules
- Disclosure requirements, Transactions and class tests
- Sanctions and appeals
12.10 Governance for AIM companies
- Code requirements, QCA guidelines, FRC guidance
13.00 Course close