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GLOSSARY

Admission document definition

Published by a LexisNexis Corporate expert

What does Admission document mean?

A document required to be published by Rule 3 of the aim rules when a company seeks the admission of it securities to trading on aim.

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Corporate governance for an AIM company

Corporate governance for an AIM company The corporate governance framework The principal framework for corporate governance in the UK is the UK Corporate Governance Code (UKCG Code). Under the Listing Rules and the Disclosure Guidance and Transparency Rules (DTRs) the UKCG Code applies to both UK and overseas companies with a premium listing of equity shares. It does not apply to a company admitted to trading on AIM (AIM company). For further information on the UKCG Code, see Practice Note: The UK Corporate Governance Code. The principal rules and guidelines relevant to the corporate governance of an AIM Company include: • the AIM Rules for Companies (AIM Rules), the AIM Rules for Nominated Advisers (Nomad Rules) and guidelines published by the London Stock Exchange (LSE), eg the newsletter Inside AIM (LSE Guidelines) • the Companies (Miscellaneous Reporting) Regulations 2018, SI 2018/860 • the Companies (Strategic Report) (Climate-related Financial Disclosure) Regulations 2022, SI 2022/31 • the Quoted Companies Alliance's Corporate Governance Code (QCA Code) • the Corporate Governance...

Prospectus requirements—fundamentals

Prospectus requirements—fundamentals This Practice Note provides accessible practical guidance and links to more comprehensive content in relation to when a prospectus is required in connection with an IPO or a secondary offer. In general, a prospectus is required to be produced by a company making an offer of shares to the public in the UK or applying for shares to be admitted to trading on a UK regulated market such as the Main Market of the London Stock Exchange. A prospectus is also required in connection with an offer to the public or admission to a UK regulated market of other types of securities, however this Practice Note focuses on prospectuses issued in relation to equity shares. What is a prospectus? A prospectus is a public document published by a company which is making an offer of its securities to the public in the UK or is applying to have its securities admitted to trading on a UK regulated market such as the Main Market of the...

Discover our 7 Practice Notes on Admission document

List of documents—initial admission to and placing on AIM

List of documents—initial admission to and placing on AIM References to ‘AIM Rules’ are to the AIM rules for Companies, to ‘PRR’ are to the Prospectus Regulation Rules, to ‘DTR’ are to the Disclosure Guidance and Transparency Rules, to the ‘PR Regulation’ are to Retained Regulation (EU) 2019/980, to the ‘LSE’ are to the London Stock Exchange plc and to the ‘nomad’ are to company’s nominated adviser. Preliminary documents Document Responsibility Status List of parties Nomad Timetable Nomad List of documents Nomad Engagement letters Document Responsibility Status Nomad’s engagement letter Nomad Broker’s engagement letter Broker Reporting accountants’ engagement letter Reporting accountants Company’s solicitors’ engagement letter Company's solicitors Nomad’s solicitors’ engagement letter Nomad’s solicitors Printer’s engagement letter Printer Registrar’s engagement letter Registrar Public relations firm engagement letter Public relations firm [Competent person's engagement letter] [Competent person(s)] Key documents Document Responsibility Status Pathfinder admission document [and prospectus] All parties Final admission document [and...

Provisional allotment letter

Provisional allotment letter Important—this provisional allotment letter (pal) is of value and is negotiable. It requires your immediate attention. The offer expires at [insert time] on [insert date]. The entire pal must be presented when payment is made. If you are in any doubt about the contents of this pal, or as to what action you should take, you are recommended to seek your own financial advice immediately from your stockbroker, bank manager, solicitor, accountant or other appropriate qualified independent financial adviser duly authorised under the financial services and markets act 2000 (fsma) or, if you are in a jurisdiction outside the united kingdom, from an appropriate qualified independent financial adviser duly authorised in your jurisdiction. If you sell, transfer or have sold or otherwise transferred all of your ordinary shares (other than ex-rights) held in certificated form before [Insert time] on [Insert date], please forward this pal with form x (form of renunciation) on page [Insert page number] completed at once to the purchaser or transferee,...

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