Legal

Our Legal Expert Group ensures that new and revised regulations that affect small and mid-size quoted companies are proportionate and appropriate for the sector.

The group is currently working on:

  • Campaigning for a proportionate approach to regulating small and mid-size quoted companies in the review of a number of European financial services directives, including Market in Financial Instruments Directive (MiFID) II and the Market Abuse Regulation.
  • Exploring various UK and European government initiatives to kick-start growth for small and mid-size quoted companies and how to improve them.

Group Terms of Reference:

Meetings

Legal Expert Group - November 2019 

Tuesday 26 November 2019 at 9.00am

This is being held on Tuesday 26 November 2019, with David Hicks of the Law Society's Company Law Committee as guest speaker. 

Legal Expert Group - September 2019 

Tuesday 17 September 2019 at 9.00am 

This is being held on Tuesday 17 September 2019, with Tomas Carruthers, CEO of Project Heather, as guest speaker.

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Published responses

QCA Response to ESMA - Guidelines on risk factors under the Prospectus Regulation

5th October 2018 - Our Legal and Primary Markets Expert Groups contributed to our response to ESMA's consultation on its draft guidelines on risk factors under the Prospectus Regulation.

QCA Response to London Stock Exchange - Proposed changes to the AIM Disciplinary Procedures and Appeals Handbook

10th September 2018 - Our Legal, Primary Markets and Secondary Markets Expert Groups contributed to our response to London Stock Exchange's proposed changes to the AIM Disciplinary Procedures and Appeals Handbook.

QCA Response to European Commission request for feedback - Fostering and promoting the use of SME growth markets - Level 1

25th July 2018 - Legal and Primary Markets Expert Groups contributed to our response to the European Commission's request for feedback regarding its legislative proposals to amend aspects of the Market Abuse Regulation and the Prospectus Regulation.

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