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EventsRegulator series

PDMR obligations with the FCA

Hear directly from the regulator on the obligations that follow every newly appointed PDMR, and the records that stand up to scrutiny.

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Session overview

Clearer handoffs from appointment to disclosure.

Join us for a regulator-led session on the PDMR obligations that connect personal conduct, issuer controls and market disclosure.

The discussion will follow the lifecycle from appointment through dealing and notification, focusing on the handoffs that can turn an otherwise routine transaction into a reporting problem.

Agenda

What the session will cover.

  1. Who is a PDMR and when obligations begin

    • Appointments, changes in responsibility and PCAs
    • Issuer onboarding and written notifications

  2. Dealing restrictions and clearance

    • Closed periods
    • Internal codes and exceptional circumstances

  3. Transactions that must be notified

    • Scope, thresholds and common misunderstandings
    • The PDMR-to-issuer handoff

  1. Issuer disclosure and record keeping

    • Preparing the notification
    • Chronology and evidence

  2. Common failures and practical scenarios

  3. Open Q&A

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