Compliance with applicable legislation and regulation is expected of Companies in addition to compliance with these Admission Principles. In particular, all Companies must comply with:
- the City Code on Takeovers and Mergers;
- the Model Code for dealings by directors (forming part of the Listing Rules issued by the UKLA);
- the UK market abuse and insider dealing regimes (as detailed within the FSMA, Criminal Justice Act 1993 and the rules of the FSA) as amended from time to time.
and apply their terms to all relevant staff and the company's dealings in its own securities.
Companies will be subject to ongoing monitoring by The Share Centre's Compliance Team to ensure that the Admission Principles (and insofar as practicable any other applicable regulation or legislation) are adhered to on an ongoing basis. Investbx Limited reserves the right to suspend or, in extreme cases, cancel trading on Investbx in a Company’s shares or terminate Investbx Limited’s agreement with a Company without prior notice and in its absolute discretion without liability to such Company or any investors in the Shares of such Company. This will most likely occur where Investbx Limited believes that there has been a material breach of these Admission Principles by the Company and/or its Directors or advisers.
Investbx Limited, the Admissions Committee and/or The Share Centre may disclose any information in its possession as follows:
- to co-operate with any person responsible for supervision or regulation of financial services or for law enforcement;
- to enable it to discharge its legal or regulatory functions, including instituting, carrying on or defending proceedings; and
- for any other purpose where it has the consent of the person from whom the information was obtained and, if different, the person to whom it relates.
Investbx Limited, Investbx Promotions Limited and The Share Centre Limited accept no responsibility or liability to any party for the accuracy or completeness of any information provided to them by Companies and posted on their websites. The Company concerned and/or its Directors and/or its professional advisers are solely responsible for such information.
