Insider dealing & filings review

Who this is for

Company secretaries, general counsel, and external solicitors acting for UK issuers who need an independent reading of dealing activity against the filings already made — or that should have been made — in a defined period.

What you receive

• A chronological reconstruction of PDMR and other relevant dealing notifications in the review window
• Cross-checks against the insider list as maintained during that window
• Notes on closed periods, announcement dates, and dealing exceptions cited in the papers
• A written findings note for counsel or the board, plus a scheduled briefing call
• A short list of follow-up questions where the record is incomplete

What is included

Document intake and indexing; review of dealing register extracts; comparison with public market filings where applicable; insider list hygiene observations; closed-period mapping; findings note; one briefing call of up to ninety minutes.

What is excluded

We do not give formal legal opinions, conduct interviews with PDMRs, or represent clients before the FCA. Litigation support and forensic accounting sit outside this engagement unless separately scoped.

Process

1. Scope call — Agree the review window, entities in scope, and document list.
2. Document receipt — Secure transfer of registers, lists, board extracts, and filing copies.
3. Desk review — Reconstruct the timeline and test each material dealing against the record.
4. Findings note — Deliver a written note with annexes for the source chronology.
5. Briefing — Walk counsel or the company secretary through what the papers show and where gaps remain.

Duration and delivery

Most flagship reviews conclude within two to three weeks of a complete document pack. Work is desk-based from our Leeds office, with video or telephone briefings. Rush timelines for imminent board meetings can be discussed at the scope call.

Preparation

Please prepare dealing register extracts, current and historic insider lists for the window, copies of PDMR notifications lodged, the announcement calendar, and any dealing policy or clearance records already in counsel’s file.

Pricing basis

Fees start from £4,800 for a single-issuer window of up to one financial year. Larger groups, multi-jurisdiction listings, or incomplete archives are quoted after the scope call. See fee guidance for estimate factors.

Next step

Request a review with the period you need examined and any board deadline. We reply within two working days.