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Insider List Management using spreadsheets

Introduction Spreadsheets, are they worth the risk when it comes to insider management? Of course companies can maintain their insider lists using excel spreadsheets (or indeed word documents). But if you are thinking of doing this you need to fully understanding the risks you are taking; these risks may be significant and the outcomes unpalatable. The Risks Dating One requirement under MAR is that a company must be able to provide a snap shot report of their insider list at any moment (date and time) in the past 5 years. The report must be in a set format and must be available “as soon as possible” when requested. There are four critical date/time stamped items of information, these are: T

FCA Statement on PDMR / CAP notification

The FCA have released a statement relating to PDMR / CAP notification. Notifications “will be through an online form which will be available shortly”. A copy of the draft form can be found here.

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