Life on AIM

Life on AIM
118
days to go
17-03-2020
Training
London, GB

A focus on the regulatory requirements, trends, developments and best practice

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Course overview

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.

 

Claire Fargeot
Chair
Claire Fargeot is founder of Claire Fargeot Associates, a corporate governance and strategic investor relations consultancy. Prior to founding the consultancy Claire worked as Head of Standards and Financial Market Integrity for EMEA at CFA Institute, the world’s largest association of investment professionals dedicated to developing and promoting the highest educational, ethical, and professional standards in the investment industry. Prior to this she ran the investor relations practice at Buchanan Communications, one of the leading financial communications advisers in the United Kingdom. Before joining Buchanan, she was responsible for setting up and running the investor relations advisory department of RLM Finsbury, a financial, regulatory, and political communications agency. Ms. Fargeot previously set up and ran the strategic communications management business in Europe for PricewaterhouseCoopers, overseeing global shareholder value projects, and was a top–rated analyst at HSBC Investment Bank.
Tim Ward
CEO, Quoted Companies Alliance
Tim Ward is CEO of the Quoted Companies Alliance, the independent membership organisation championing the interests of small to mid-size quoted companies. His past roles have included Head of Issuer Services at the London Stock Exchange, Finance Director at FTSE International, the index company and various management roles at a smaller quoted company. Tim is a Chartered Accountant, has a MBA from Henley Business School and is a qualified executive coach and mentor.
Adrian Trimmings
Corporate Director, Peel Hunt
Adrian Trimmings is a Corporate Director at Peel Hunt having previously worked at Arden and Numis Securities. Adrian is a Chartered Accountant by training and has worked in Corporate for the last 10 years advising AIM and Main Market companies through the IPO process and continuing obligations as a listed company. Adrian is part of the Consumer team at Peel Hunt and earlier this year worked on the £140m IPO of Joules, the British premium lifestyle brand, the £120m Class 1 disposal of the Parts Division for Lookers plc and secondary placing for DP Poland plc, the sub-franchise of Domino’s Pizza stores in Poland.
George Sellar
Associate Director, Peel Hunt
George is an Associate Director in the Peel Hunt Corporate department. He specialises in public company transactions and, since joining Peel Hunt in 2014, has advised on over 50 Main Market and AIM transactions in a lead corporate finance capacity. He also advises public companies on the UKLA Listing Rules and Disclosure Guidance and Transparency Rules, the Prospectus Rules, the AIM Rules and the Takeover Code. George’s recent Sponsor work includes advising: • Carpetright Plc on both its CVA and the connected £65 million Placing and Open Offer • Nanoco Group Plc on its £9 million Placing • Lookers Plc on its £123 million Class 1 disposal of its Parts Division • NCC Group Plc on its £126 million firm placing and placing and open offer to acquire Fox-IT for €133 million • NCC Group plc on its £18 million dividend rectification George’s Main Market clients include Carpetright plc, Coats Group plc, Dairy Crest Group plc, Lookers plc, Moss Bros Group plc, Nanoco Group plc, NCC Group plc, Rank Group plc, Sportech plc, Telecom Plus plc and Topps Tiles Group plc. George started his career at PwC, where he trained as a chartered accountant.
London Stock Exchange
10 Paternoster Square
London
EC4M 7LS
United Kingdom

9.00 - 9:05 Chair’s welcome - Overview and objectives of the seminar

Chair: Claire Fargeot

9:05 – 9.50 Putting AIM into context

  • History, current trends and developments, differences to main market

9:50 – 10:50 AIM rules 

  • Update on the regulatory framework for all listed companies including MAR and other disclosure related changes to the AIM rules
  • Contributing to an open and fair market via managing inside information and share dealing by senior management

10:50 – 11:20 Coffee

11:20 – 12.10 The role of the NOMAD and Broker:

  • NOMAD eligibility criteria and continuing obligations
  • The impact of MiFID II
  • Transactions – class tests, notifications and related parties and a shareholder’s right of pre-emption

12:10 - 12:55 Reporting to the market:

  • Corporate reporting update; Guidelines and guidance
  • Best practice case studies and practical lessons

12:55 - 13:00 – Final questions and close

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