Insider list—to be submitted by issuer of financial instruments admitted to trading on SME growth market

Published by a LexisNexis Corporate expert
Precedents

Insider list—to be submitted by issuer of financial instruments admitted to trading on SME growth market

Published by a LexisNexis Corporate expert

Precedents
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Article 18(1) of the UK Market Abuse Regulation Assimilated Regulation (EU) 596/2014 (UK Market Abuse Regulation) provides that an issuer or any person acting on an issuer’s behalf or account must draw up a list of all persons who have access to inside information and who are working for them under a contract of employment, or otherwise performing tasks through which they have access to inside information, eg advisers, accountants or credit rating agencies.

The Financial Services Act 2021 amended Article 18(1) to clarify that both issuers and any person acting on their behalf or on their account are each required to maintain insider lists. This amendment came into force on 29 June 2021.

An sme growth market is defined in

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Jurisdiction(s):
United Kingdom
Key definition:
Insider definition
What does Insider mean?

In the context of the uk market abuse regulation (Retained Regulation (EU) No 596/2014), a person who possess inside information as a result of: (a) being a member of the administrative, management or supervisory bodies of the issuer; (b) having a holding in the capital of the issuer; (c) having access to the information through the exercise of an employment, profession or duties; or (d) being involved in criminal activities. A person is also an insider if the person possesses inside information under circumstances other than those referred to above, where that person knows or ought to know that it is inside information. See Article 8(4) of the UK Market Abuse Regulation. In the context of the criminal insider dealing regime under the Criminal Justice Act 1993, a person who has inside information which they know is inside information knowingly from an inside source. See section 57 of the Criminal Justice Act 1993.

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