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Quoted Investment Companies

Quoted investment companies face particular challenges, with their boards and managers operating under both exchange rules as well as the rules of the FCA or equivalent regulator.

We act for quoted investment companies on a wide range of advisory and strategic issues, including initial listing, secondary issues and mergers and winding up. 

Our advice covers financing and investment, constitutional and corporate governance, as well as regulatory matters such as:

  • compliance with the Listing Rules, AIM Rules and DTRs
  • custody and depositary arrangements
  • the Alternative Investment Fund Managers Directive
  • the impact of US regulation, including FATCA
  • tax issues
  • other regulatory developments.


Investment policy and guidelines

Advised Fidelity European Values PLC on the change to its investment policy and investment guidelines to enable it to use CFDs for the purposes of gearing.


Advised Castle Alternative Invest AG on its delisting from the London Stock Exchange, whilst retaining its listing on the SIX Swiss Exchange.

Bonus issue

Advising India Capital Growth Fund, an AIM quoted company on its 1 for 2 subscription shares bonus issue.

Preference shares

Advising VinaCapital Investment Management Limited as manager on the zero dividend preference share issue by VinaLand ZDP Limited.

Mithras Investment Trust plc

Advising Mithras on a number of matters including court approved reduction of capital, two lender offers.