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Governance and Compliance Services for AIM Listed PLCs

Providing comprehensive company secretarial and regulatory compliance support to AIM listed entities.

A tailored solution to meet the unique needs of your AIM listed entity

Since its inception in 1995, the Alternative Investment Market (AIM) has grown rapidly to become the world’s most successful public market, helping over 4,000 companies to achieve their growth ambitions. 

What makes AIM unique is its diversity of constituents. The industry types, the company sizes, the investment ambitions and even the countries of origin mean that no two entrants are alike. Here at Ocorian, we believe unique companies require a unique approach when it comes to providing governance and compliance support. 

Our AIM Plc services help you to

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  • Establish the fundamentals of good corporate governance

    Our team of experts support a broad range of listed entities enabling you to draw on this knowledge and experience to establish a solid governance framework in your business. 

  • Navigate the complex regulatory environment

    With periodic revisions in the regulatory requirements, it’s critical to ensure your business keeps up with the latest demands and avoids the potentially damaging risk of non-compliance.

  • Create a high performing board

    Through the delivery of board reviews and governance advisory we can help your board work better together, allowing for more fluid dialogue, greater innovation and better decision-making capabilities.

  • Manage and control costs

    We provide fixed pricing wherever possible, giving you the ability to predict and control your costs effectively.  

AIM Plc Services

For companies aiming to list on AIM, establishing a robust governance framework is crucial. We assist companies in drafting policies, reviewing procedures, and setting internal behaviours that meet the high standards expected by the market. Our collaboration extends to working with nominated advisers, PR agencies, and legal advisors to ensure a seamless transition and optimal share price upon listing. Post-listing, we continue to support by ensuring the procedures we've established are followed diligently.

Our senior company secretaries bring extensive experience specifically tailored to the needs of AIM-listed companies. This specialised knowledge is crucial in managing the unique challenges faced by these companies, from corporate governance to regulatory filings and shareholder communications.

It's essential that companies periodically evaluate their board's effectiveness. We conduct these evaluations by observing board meetings, interviewing directors, and providing actionable insights to enhance governance practices. Additionally, our regulatory compliance health checks review company policies against actual practices, identifying risks and recommending necessary adjustments to align with current regulatory standards.

We offer real-time governance advice during board meetings, helping directors navigate complex decisions and maintain exemplary corporate behaviour. Our services extend to organising and managing annual general meetings, where key company decisions are made, and shareholder interactions take place.

Our services are designed to alleviate the burden of regulatory compliance for AIM companies. We understand the nuances of regulation and what each company requires to not only meet but exceed these standards. Our approach allows businesses to concentrate on their core activities, like improving their financial metrics and go-to-market strategies, while we ensure they remain compliant and up to date with all regulatory requirements.

We have deep understanding of the regulatory framework governing AIM listed companies. Our team includes seasoned regulatory professionals, many of whom have previously worked with the UK's Financial Conduct Authority (FCA). This knowledge ensures that not only are we familiar with UK Corporate Finance regulations, but we also understand how to interpret and implement the rules effectively.

AIM listed companies are under constant scrutiny to maintain transparency and uphold governance standards. They are required to produce annual reports that are publicly available, detailing how they govern their operations. Our governance and company secretarial (cosec) services provide these companies with insights into industry standards and help them align with market expectations. This not only aids in maintaining compliance but also protects against potential brand damage due to public missteps.

Our comprehensive suite of services includes standard company secretarial tasks such as maintaining insider lists, managing dealing windows, and ensuring compliance with regular filings. We also support board and company committee meetings by preparing board packs, recording minutes, and providing an electronic board portal for efficient document management.

To keep company personnel up to date with compliance requirements, we offer an online training portal with a library of customizable training videos. For companies with an international footprint, we provide international subsidiary compliance services to corporate entities and investment structures worldwide, ensuring global compliance and governance standards are met.

What our customers say

What our customers say

  • “The Ocorian team adapted when required to ensure we conformed to local corporate governance standards quickly and efficiently and on an ongoing basis.’’

    Head of company secretary, global energy services company

Let’s talk

Contact us and a member of our team will be in touch. 

If you would like to speak to someone in regards to media please email: [email protected]

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