Electronic Compliance Object · United Kingdom
What an agent must know before it acts on a security listed in United Kingdom: who regulates, where the filings are stored, what is due when, and which state the issuer is in.
| Field | Value | Source |
|---|---|---|
| Regulator | Financial Conduct Authority (FCA) www.fca.org.uk | www.fca.org.uk |
| Exchange(s) and listings page | London Stock Exchange - Main Market — www.londonstockexchange.com/equities-trading/our-markets London Stock Exchange - AIM — www.londonstockexchange.com/raise-finance/equity/aim | www.londonstockexchange.com/equities-trading/our-markets |
| Regulated-information store | National Storage Mechanism (NSM), FCA: 'allows you to access regulated announcements and disclosed documents' data.fca.org.uk/#/nsm/nationalstoragemechanism | www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism |
| Periodic disclosure obligations and deadlines | Annual financial report (Main Market, DTR 4.1.3) — deadline: An issuer must make public its annual financial report at the latest four months after the end of each financial year. Half-yearly financial report (Main Market, DTR 4.2.2) — deadline: as soon as possible, but no later than three months, after the end of the period to which the report relates | www.handbook.fca.org.uk/handbook/DTR/4/1.html www.handbook.fca.org.uk/handbook/DTR/4/2.html |
| Ad hoc / inside-information regime | UK MAR art. 17(1): 'An issuer shall inform the public as soon as possible of inside information which directly concerns that issuer.' | www.legislation.gov.uk/eur/2014/596/article/17 |
| Filing format | DTR 4.1.14: annual financial report in 'Extensible Hypertext Markup Language (XHTML) format'; DTR 4.1.17-4.1.18 require XBRL tagging of certain disclosures (page does not use the term ESEF) | www.handbook.fca.org.uk/handbook/DTR/4/1.html |
| ISIN prefix | GB, GG, IM, JE - London Stock Exchange Plc is the UK National Numbering Agency (allocation covers Great Britain, Jersey, Guernsey and the Isle of Man) www.lseg.com/en/data-indices-analytics/data/isin-services | www.lseg.com/en/data-indices-analytics/data/isin-services |
| LEI | LEI = unique 20-character alphanumeric code, ISO 17442 (GLEIF). The GLEIF page states no general who-must-hold rule; mandates are set by national regulators. www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei | www.gleif.org/en/about-lei/introducing-the-legal-entity-identifier-lei |
| Market calendar | LSE business days page: 'London Stock Exchange generally operates its Trading Services each weekday'; recognises Public and Bank Holidays of England & Wales; lists bank holiday impact 2026-2029 www.londonstockexchange.com/equities-trading/business-days | www.londonstockexchange.com/equities-trading/business-days |
| Filing language(s) | not found | pages checked: www.handbook.fca.org.uk/handbook/DTR/4/1.html · www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism |
| Trading halts page | not found | pages checked: www.londonstockexchange.com/equities-trading/market-status · www.londonstockexchange.com/resources/london-stock-exchange-notices (page showed only an email sign-up form, no halts list) |
| Store lookup | NSM search by company name, LEI, document type, keywords in document content; results exportable to CSV data.fca.org.uk/#/nsm/nationalstoragemechanism | www.fca.org.uk/markets/primary-markets/regulatory-disclosures/national-storage-mechanism |
| Node status and door | NODE LIVE · as_of 2026-10-23 · 1,570 issuers · door https://mcp.uk-cm-kg.ai/mcp mcp.uk-cm-kg.ai/mcp | mcp.capitalmarketsknowledgegraph.ai/mcp (list_nodes, at render) |
| Signal | State | When |
|---|---|---|
| ACM-200 | TRADING | The ISIN is on this market's register (the node's current roster for the exchange list). |
| ACM-403 | HALTED | Trading in the line is suspended or halted by the exchange or regulator. The node's record carries the halt flag, read nightly from the market's halts page named in the fields. |
| ACM-404 | NOT ON THE REGISTER | The ISIN is not on this market's register (not listed here, delisted, or never admitted). |
| ACM-451 | READ THE FILING | A regulatory filing for the issuer is dated in the last three days: read it before acting. The answer names it. |