Consultations
| No. | Consultation | Launched | Closed | Effective date | Description |
| 24. | Disciplinary and Appeals Procedure | 5 October 2022 | 17 October 2022 |
Disiplinary and Appeals Procedure Consultation - Oct 2022 AQSE Disciplinary Procedures - Oct 2022 (mark-up) AQSE Disciplinary Procedures - Consultation Oct 2022 |
|
| 23. | Apex and Access Rulebook Update | 22 August 2022 | 2 September 2022 | 3 October 2022 |
AQSE Consultation Response September
Consultation – Changes to the Rules governing admission to the Access and Apex segments of the AQSE Growth Market |
| 22. | SPAC rule change consultation | 27 October 2021 | 12 November 2021 |
SPAC rule change consultation response Access rulebook – Final Mark-up SPAC rule change consultation Access Rulebook - Consultation Draft |
|
| 21. |
Access and Apex Rulebooks
|
16 November 2020 (subject to transition provisions) |
Consultation Paper Response to Consultation AQSE Apex Transition Provisions AQSE Trading Rules 2019 AQSE Access RuleBook - December 2020 AQSE Apex RuleBook - December 2020 |
||
|
20. |
Enhancements to the
markets AQSE operates
|
1 May 2020 |
15 June 2020 |
|
|
| 19. |
CSD Regulation – Changes to
the NEX Exchange Trading
Rules
|
21 August 2019 | 30 September 2019 | 3 October 2019 |
NEX Exchange Trading Rules – October 2019 |
| 18. | EU Growth prospectus – Changes to the NEX Exchange Growth Market Rules for Issuers | 30 April 2019 | 31 May 2019 | 11 July 2019 |
NEX Exchange Growth Market Rules for Issuers – July 2019 NEX Exchange Growth Market Rules for Issuers – consolidated changes NEX Exchange Growth Market Rules for Issuers – changes in response to feedback Comparison to EU Growth prospectus (non-equity) Comparison to EU Growth prospectus (equity) NEX Exchange Growth Market Rules for Issuers – proposed changes |
|
17. |
SME Growth Market Status & Rule Consultation |
20 December 2018 |
08 January 2019 |
29 January 2019 |
NEX Exchange Growth Market Rules - January 2019 NEX Exchange Growth Market Rules (markup) January 2019 Consultation Paper - SME Growth Market |
|
16. |
Changes to the NEX Exchange fast track admission rules |
15 June 2018 |
29 June |
1 August |
Fast Track consultation feedback Growth Market Rules for Issuers August 2018 Growth Market Rules for Issuers (marked up) Corporate Adviser Handbook, August 2018 |
| 15. |
Changes to the Trading Rules, in line with MiFID II. |
1 November 2017 | 1 December 2017 | 3 January 2018 |
MiFID II - Notice of Changes to Trading Rules NEX Exchange - Draft Trading Rules - MIFID II - Mark up 01.11.2017 NEX Exchange -Draft Trading-Rules-MiFID II - 1.11.2017 NEX Exchange - Draft Trading Parameters- MIFDI II - 01.11.2017 |
| 14. | ISDX Growth Market Rules for Issuers 2016 and the ISDX Corporate Adviser Handbook 2016 | 13 June 2016 | 27 June 2016 | 3 July 2016 |
Changes for advent of MAR and other amendments ISDX Response to consultation on rule changes July 2016 ISDX Growth Market Rules for Issuers July 2016 ISDX Growth Market Rules for Issuers July 2016 mark up ISDX Corporate Adviser Handbook 13 June 2016 ISDX Growth Market Rules for Issuers Blackline 13 June 2016 ISDX Growth Market Rules for Issuers 13 June 2016 |
| 13. | Rules for Issuers 2015/Corporate Adviser Handbook 2015/Due Diligence Practice Note 2015 | 22 January 2015 | 20 February 2015 | 23 March 2015 | Introduction of revised admission criteria for issuers, a modified framework for the role of an NEX Exchange Corporate Adviser and a practice note to clarify the due diligence requirements in respect of the NEX Exchange Growth Market. |
| 12. | Disciplinary Procedures | 25 July 2014 | 25 August 2014 | 23 March 2015 |
Amendments to the Disciplinary Procedures (applicable to member firms and issuers), involving disciplinary matters and appeals. |
| 11. | Rules for issuers 2013/Corporate Adviser Handbook 2013 | 8 April 2013 | 13 May 2013 | 23 March 2015 | Introduction of additional admission criteria for equity securities and requirements around investment vehicles, cash shells, corporate governance and disclosure, and a new framework for the role of an authorised NEX Exchange Corporate Adviser. |
| 10. | Trading Rules 2011 | 29 June 2011 | 31 July 2011 | 1 September 2011 | Introduction of changes to reflect the single quote-driven trading model and technical improvements to the Trading Rules. |
| 9. | Disciplinary Procedures 2010 | 8 April 2010 | 8 May 2010 | 12 May 2010 | Creation of a Disciplinary Commissioner as well as broadening the circumstances in which a "Precautionary Suspension" of a Member Firm can be invoked. |
| 8. | Rules for Issuers 2010 | 8 February 2010 | 8 March 2010 | 12 May 2010 | Incorporation of the new fast-track admission procedure for applicants from Qualifying Markets and clarification of the responsibilities and role of the Corporate Adviser and the circumstances requiring the publication of an admission document. |
| 7. | Fast-track procedures | 12 November 2009 | 12 December 2009 | 12 January 2010 | Introduction of a regulatory framework enabling issuers with a quotation on certain reputable smaller company markets within the EU to obtain a dual quotation via an expedited procedure. |
| 6. | Corporate Adviser Handbook 2009 | 30 July 2009 | 21 September 2009 | 1 October 2009 | Clarification of certain sections of the existing handbook in response to queries received from time to time. |
| 5. | Rules for Issuers 2009 | 5 January 2009 | 26 February 2009 | 9 March 2009 | Clarification of certain sections of the existing rules in response to queries received from time to time. |
| 4. | Trading Rules 2008/2009 | 1 September 2008 | 1 October 2008 | 23 February 2009 | Introduction of changes to reflect the expansion of quote-driven services. |
| 3. | Trading Rules 2007 | 16 August 2007 | 17 September 2007 | 1 November 2007 | Introduction of detailed trading rulebook in order to implement the Markets in Financial Instruments Directive ("MiFID") in November 2007. |
| 2. | Admission & Disclosure Standards, Rules for Issuers and Disciplinary Procedures 2007 | 23 April 2007 | 21 June 2007 | 1 November 2007 | Introduction of new regulatory framework to accommodate the positioning of the Exchange both as a Recognised Investment Exchange ("RIE") and as a full service Market Operator following the implementation of the Markets in Financial Instruments Directive ("MiFID") in November 2007. Introduction of the Admission & Disclosure Standards for listed securities |
| 1. | Rules for Issuers 2007 | 27 November 2006 | 31 December 2006 | 20 January 2007 | Introduction of the FSA disclosure regime under the DTR in the Rules for Issuers. |