ARTICLE
27 February 2018

LSE Summarizes 2017 Enforcement Actions For Breaches Of AIM Rules And Nomad Rules

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A&O Shearman

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A&O Shearman was formed in 2024 via the merger of two historic firms, Allen & Overy and Shearman & Sterling. With nearly 4,000 lawyers globally, we are equally fluent in English law, U.S. law and the laws of the world’s most dynamic markets. This combination creates a new kind of law firm, one built to achieve unparalleled outcomes for our clients on their most complex, multijurisdictional matters – everywhere in the world. A firm that advises at the forefront of the forces changing the current of global business and that is unrivalled in its global strength. Our clients benefit from the collective experience of teams who work with many of the world’s most influential companies and institutions, and have a history of precedent-setting innovations. Together our lawyers advise more than a third of NYSE-listed businesses, a fifth of the NASDAQ and a notable proportion of the London Stock Exchange, the Euronext, Euronext Paris and the Tokyo and Hong Kong Stock Exchanges.
On 14 December 2017, the London Stock Exchange (LSE) issued an AIM Disciplinary Notice (AD17) which sets out a summary of enforcement matters which resulted in private censures and fines on AIM companies ...
United Kingdom Corporate/Commercial Law

On 14 December 2017, the London Stock Exchange (LSE) issued an AIM Disciplinary Notice (AD17) which sets out a summary of enforcement matters which resulted in private censures and fines on AIM companies and nominated advisers ("Nomads") during 2017. AD17 is intended to provide guidance to AIM companies and Nomads on the expected standards of conduct to avoid future fines or censures.

The AIM disciplinary notice can be accessed here:

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