The Forum’s operating procedures have been established with a panel of leading lawyers in order to create a safe and secure environment in which to conduct collective engagement.
The procedures have been drawn up to take into account key legal and regulatory concerns:
- Inside and Confidential Information / the Market Abuse Regime;
- Concert party formation under the City Code;
- U.S. Regulatory Considerations such as group filing requirements under SEC rules and the US Federal Reserve Bank Holding Company Act;
- Competition Law.
Our Summary document describes the two main phases of our procedures: Engagement Proposal and Engagement Management.
The complete Framework is available to Members. Members also have access to further background material on key topics as well as Legal & Regulatory events hosted by the Forum.