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Standard Chartered PLC Regulatory Filings 2012
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Regulatory Filings
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Hong Kong Exchanges and Clearing Limited and The Stock Exchange of Hong Kong Limited take no responsibility for the contents of this document, make no representation as to its accuracy or completeness and expressly disclaim any liability whatsoever for any loss howsoever arising from or in reliance upon the whole or any part of the contents of this document.
STANDARD CHARTERED PLC
渣打集團有限公司
(Registered in England and Wales number 966425)
(Stock Code: 02888)
Annual Information Update for Standard Chartered PLC (the "Company")
This annual information update is filed pursuant to Prospectus Rule 5.2 made by the Financial Services Authority and not for any other purpose and by filing this annual information update neither the Company, nor any other person, takes any responsibility for, or makes any representation, express or implied, as to the accuracy or completeness of, the information contained or referred to below herein. The information referred to below is not necessarily up to date as at the date of this annual information update and the Company does not undertake any obligation to update any such information in the future. Furthermore, such information may have been prepared in accordance with the laws or regulations of a particular jurisdiction and may not comply with or meet the relevant standards of disclosure in any other jurisdiction. Neither this annual information update, nor the information referred to below constitutes, by virtue of this communication, an offer of any securities addressed to any person and should not be relied on by any person.
1. Regulatory Announcements
The following UK regulatory announcements have been made by the Company via a Regulatory Information Service during the previous 12 months. Copies of these announcements can be viewed at the London Stock Exchange's website at http://www.londonstockexchange.com/prices-and-markets/markets/prices.htm under code STAN and at the Company's website at http://investors.standardchartered.com/
| Date of Publication | Regulatory Headline |
|---|---|
| 26 April 2011 | Director/PDMR Shareholding |
| 26 April 2011 | Annual Information Update |
| 04 May 2011 | Q1 Interim Management Statement 2011 |
| 05 May 2011 | Result of AGM |
06 May 2011 Total Voting Rights
06 May 2011 Additional Listing
06 May 2011 Director/PDMR Shareholding
10 May 2011 Publication of Final Terms
11 May 2011 Director/PDMR Shareholding
11 May 2011 Overseas Regulatory Announcement
11 May 2011 Publication of amended Final Terms
12 May 2011 Director/PDMR Shareholding
25 May 2011 Director Declaration
26 May 2011 Director/PDMR Shareholding
27 May 2011 Director/PDMR Shareholding
07 June 2011 Total Voting Rights
17 June 2011 Blocklisting Interim Review
23 June 2011 Director/PDMR Shareholding
24 June 2011 Director/PDMR Shareholding
28 June 2011 Pre-close Trading Statement
07 July 2011 Total Voting Rights
15 July 2011 Due diligence of Piraeus Bank Egypt S.A.E.
15 July 2011 Standard Chartered PLC – Not in EBA stress tests
18 July 2011 Overseas Regulatory Announcement
26 July 2011 Director/PDMR Shareholding
27 July 2011 Overseas Regulatory Announcement
28 July 2011 Overseas Regulatory Announcement
03 August 2011 Interim Results 2011
04 August 2011 Total Voting Rights
| 09 August 2011 | Publication of Supplementary Prospectus |
|---|---|
| 26 August 2011 | Director/PDMR Shareholding |
| 01 September 2011 | Half Yearly Report 2011 |
| 05 September 2011 | Acquisition of Gryphon Partners |
| 06 September 2011 | Total Voting Rights |
| 16 September 2011 | Director/PDMR Shareholding |
| 19 September 2011 | Overseas Regulatory Announcement |
| 21 September 2011 | Director/PDMR Shareholding |
| 27 September 2011 | Director/PDMR Shareholding |
| 04 October 2011 | SCRIP Dividend Scheme – Additional Listing |
| 05 October 2011 | Director/PDMR Shareholding |
| 06 October 2011 | Total Voting Rights |
| 10 October 2011 | Director/PDMR Shareholding |
| 17 October 2011 | Director/PDMR Shareholding |
| 19 October 2011 | Publication of Final Terms |
| 25 October 2011 | Director/PDMR Shareholding |
| 25 October 2011 | Notice of listing on the HK stock exchange |
| 02 November 2011 | Q3 Interim Management Statement 2011 |
| 03 November 2011 | Total Voting Rights |
| 08 November 2011 | Director/PDMR Shareholding |
| 11 November 2011 | Analyst Trip |
| 11 November 2011 | Publication of Prospectus |
| 28 November 2011 | Director/PDMR Shareholding |
| 06 December 2011 | Total Voting Rights |
| 08 December 2011 | December 2011 Pre-close trading statement |
08 December 2011 Blocklisting Interim Review
12 December 2011 Directorate Change
15 December 2011 Standard Chartered to Invest in Greenko
29 December 2011 Director /PDMR Shareholding
29 December 2011 Director Declaration
06 January 2012 Total Voting Rights
17 January 2012 Publication of Final Terms
24 January 2012 Director/PDMR Shareholding
24 January 2012 Publication of Final Terms
25 January 2012 Director/PDMR Shareholding
07 February 2012 Total Voting Rights
14 February 2012 Overseas Regulatory Announcement
22 February 2012 Overseas Regulatory Announcement
27 February 2012 Director/PDMR Shareholding
28 February 2012 Director Declaration
29 February 2012 Final Results 2011
05 March 2012 Total Voting Rights
05 March 2012 Director/PDMR Shareholding
05 March 2012 Publication of Supplementary Prospectus
13 March 2012 Director/PDMR Shareholding
14 March 2012 Director/PDMR Shareholding
20 March 2012 Blocklisting
23 March 2012 Annual Report 2011
28 March 2012 Director/PDMR Shareholding
28 March 2012 Transfer of business in Afghanistan
30 March 2012
Pillar 3 Disclosures
10 April 2012
Total Voting Rights
- Documents filed with the Registrar of Companies
The following documents have been filed by the Company with the Registrar of Companies at Companies House during the previous 12 months. Copies of these documents may be obtained from Companies House, Crown Way, Maindy, Cardiff, CF14 3UZ, email: [email protected] - or, if you are a registered user, through Companies House Direct at www.direct.companieshouse.gov.uk.
| Date of Filing | Document Type | Brief Description |
|---|---|---|
| 26 April 2011 | AA | Group of Companies' Accounts Made up to 31/12/10 |
| 10 May 2011 | RES13 | Company Business 05 May 2011 |
| 13 May 2011 | CH01 | Director's Change of Particulars – Simon Lowth |
| 18 May 2011 | AR01 | Annual Return |
| 24 June 2011 | SH01 | Statement of Capital – USD & GBP |
| 24 June 2011 | SH01 | Statement of Capital – USD & GBP |
| 28 June 2011 | SH01 | Statement of Capital – USD & GBP |
| 28 June 2011 | SH01 | Statement of Capital – USD & GBP |
| 28 June 2011 | CH01 | Director's Change of Particulars – John Wilfred Peace |
| 11 July 2011 | SH01 | Statement of Capital – USD & GBP |
| 10 August 2011 | SH01 | Statement of Capital – USD & GBP |
| 10 August 2011 | SH01 | Statement of Capital – USD & GBP |
| 10 August 2011 | SH01 | Statement of Capital – USD & GBP |
| 10 August 2011 | SH01 | Statement of Capital – USD & GBP |
| 20 September 2011 | SH01 | Statement of Capital – USD & GBP |
| 20 September 2011 | SH01 | Statement of Capital – USD & GBP |
06 October 2011 SH01 Statement of Capital – USD & GBP
06 October 2011 SH01 Statement of Capital – USD & GBP
26 October 2011 SH01 Statement of Capital – USD & GBP
26 October 2011 SH01 Statement of Capital – USD & GBP
11 October 2011 SH01 Statement of Capital – USD & GBP
23 November 2011 SH01 Statement of Capital – USD & GBP
13 January 2012 AP01 Director Appointed Mr Viswanathan Shankar
23 January 2012 SH01 Statement of Capital – USD & GBP
16 February 2012 SH01 Statement of Capital – USD & GBP
16 February 2012 SH01 Statement of Capital – USD & GBP
3. Documents filed with the Financial Services Authority
The following documents have been filed by the Company with the Financial Services Authority during the previous 12 months. These documents may be viewed at the National Storage Mechanism at www.hemscott.com/nsm.do. Copies of these documents are also available on request from the Company's registered office at 1 Aldermanbury Square, London, EC2V 7SB.
| Date of Publication | Document |
|---|---|
| 26 April 2011 | Annual Information Update |
| 09 May 2011 | Final Terms relating to the issue by Standard Chartered PLC on 9 May 2011 under the Debt Issuance Programme. |
| 11 May 2011 | Amended Final Terms dated 9 May 2011 |
| 09 August 2011 | Supplementary Prospectus dated 9 August 2011 supplementing the Prospectus dated 10 November 2010. |
| 01 September 2011 | 2011 Half Year Report, Interim Dividend circular and Dividend Terms and Conditions |
| 18 October 2011 | Final Terms relating to the issue by Standard Chartered PLC on 20 October 2011 under the Debt Issuance Programme. |
11 November 2011
Prospectus dated 11 November 2011
17 January 2012
Final Terms relating to the issue by Standard Chartered PLC on 18 January 2012 under the Debt Issuance Programme.
24 January 2012
Final Terms relating to the issue by Standard Chartered PLC on 25 January 2012 under the Debt Issuance Programme.
05 March 2012
Supplementary Prospectus dated 5 March 2012 supplementing the Prospectus dated 11 November 2011.
23 March 2012
Annual Report 2011, Notice of Annual General Meeting 2012, 2011 Final Dividend circular and Dividend Terms and Conditions.
4. Documents filed with the Stock Exchange of Hong Kong
Further to the announcements made with the London Stock Exchange, where appropriate, the following additional documents have also been filed by the Company with the Stock Exchange of Hong Kong Limited during the previous 12 months up to and including 16 April 2012. Copies of these documents may be obtained from www.hkexnews.hk/index.htm.
| Date of Publication | Document |
|---|---|
| 18 April 2011 | Full Early Redemption |
| 26 April 2011 | Standard Chartered PLC - Block listing |
| 27 April 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 27 April 2011 | Annual Information Update for Standard Chartered PLC |
| 4 May 2011 | Interim Management Statement |
| 06 May 2011 | Result of AGM - Resolutions Passed at Annual General Meeting on 5 May 2011 |
| 06 May 2011 | Monthly Return of Equity Issuer on Movements in Securities for the month ended 30/04/2011 |
| 09 May 2011 | Voting Rights and Capital |
| 09 May 2011 | SCRIP Dividend Scheme - Additional Listing |
| 09 May 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 09 May 2011 | Grant of Share Options |
| 11 May 2011 | Publication of Final Terms |
|---|---|
| 11 May 2011 | Change in issued share capital |
| 12 May 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 12 May 2011 | Publication of Amended Final Terms |
| 12 May 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 26 May 2011 | Overseas Regulatory Announcement - Standard Chartered PLC |
| 26 May 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 30 May 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 07 June 2011 | Monthly Return of Equity Issuer on Movements in Securities for the month ended 31/05/2011 |
| 08 June 2011 | Voting Rights and Capital |
| 17 June 2011 | Block Listing Six Monthly Return |
| 24 June 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 24 June 2011 | Grant of Share Options |
| 27 June 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 28 June 2011 | Pre-close trading update |
| 07 July 2011 | Monthly Return of Equity Issuer on Movements in Securities for the month ended 30/06/2011 |
| 08 July 2011 | Voting Rights and Capital |
| 15 July 2011 | Standard Chartered PLC to conduct due diligence on Piraeus Bank Egypt S.A.E |
| 18 July 2011 | Standard Chartered PLC - Not in EBA stress tests |
| 18 July 2011 | Date of Board Committee Meeting |
| 26 July 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 27 July 2011 | Proposed record date in connection with the payment of 2011 Interim Dividend |
| 28 July 2011 | Waiver of Listing Rules to enable Standard Chartered PLC to hold Treasury Shares |
| 28 July 2011 | Modifications to the Rules Governing the Listing of Securities on The Stock Exchange of Hong Kong Limited (the "Exchange") to enable Standard Chartered PLC (the "Company") to hold treasury shares (as referred to in the announcement |
| of the Company dated 28 July 2011) | |
|---|---|
| 03 August 2011 | Results for the six months ended 30 June 2011 |
| 04 August 2011 | Monthly Return of Equity Issuer on Movements in Securities for the month ended 31/07/2011 |
| 05 August 2011 | Voting Rights and Capital |
| 10 August 2011 | Publication of Supplementary Prospectus |
| 26 August 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 31 August 2011 | Half Year Report 2011 |
| 31 August 2011 | 2011 Interim Dividend |
| 31 August 2011 | Dividend Terms and Conditions |
| 31 August 2011 | Notice of Availability to shareholders |
| 31 August 2011 | Notice of Availability to Non-registered holders |
| 31 August 2011 | Notice of Entitlement |
| 31 August 2011 | Election Form |
| 02 September 2011 | Overseas Regulatory Announcement Standard Chartered PLC |
| 05 September 2011 | Standard Chartered PLC - Acquisition of Company |
| 06 September 2011 | Monthly Return of Equity Issuer on Movements in Securities for the month ended 31/08/2011 |
| 07 September 2011 | Voting Rights and Capital |
| 19 September 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 19 September 2011 | Change in issued share capital |
| 22 September 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 22 September 2011 | Grant of Share Options |
| 28 September 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 06 October 2011 | SCRIP Dividend Scheme - Additional Listing |
| 06 October 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 06 October 2011 | Grant of Share Options |
| 06 October 2011 | Monthly Return of Equity Issuer on Movements in Securities for the month ended 30/09/2011 |
| 07 October 2011 | Voting Rights and Capital |
| 10 October 2011 | Change in issued share capital |
| 11 October 2011 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
18 October 2011
Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons
20 October 2011
Publication of Final Terms
25 October 2011
Notice of Listing on the Stock Exchange of Hong Kong Limited
26 October 2011
Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons
02 November 2011
Interim Management Statement
03 November 2011
Monthly Return of Equity Issuer on Movements in Securities for the month ended 31/10/2011
04 November 2011
Voting Rights and Capital
08 November 2011
Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons
11 November 2011
Standard Chartered PLC - Analyst Trip
11 November 2011
Notice of Listing on the Stock Exchange of Hong Kong Limited
14 November 2011
Publication of Prospectus
29 November 2011
Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons
06 December 2011
Monthly Return of Equity Issuer on Movements in Securities for the month ended 30/11/2011
06 December 2011
Voting Rights and Capital
08 December 2011
Pre-close trading update
08 December 2011
Block Listing Six Monthly Return
12 December 2011
Standard Chartered PLC appoints V. Shankar to the Board as Group Executive Director
30 December 2011
Overseas Regulatory Announcement - Standard Chartered PLC
30 December 2011
Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons
06 January 2012
Monthly Return of Equity Issuer on Movements in Securities for the month ended 31/12/2011
09 January 2012
Voting Rights and Capital
18 January 2012
Overseas Regulatory Announcement - Standard Chartered PLC
26 January 2012
Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons
26 January 2012
Publication of Final Terms
26 January 2012
Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons
07 February 2012
Monthly Return of Equity Issuer on
| Movements in Securities for the month ended 31/01/2012 | |
|---|---|
| 08 February 2012 | Voting Rights and Capital |
| 14 February 2012 | Date of Board Committee Meeting |
| 22 February 2012 | Proposed record date in connection with the payment of 2011 final dividend |
| 27 February 2012 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 28 February 2012 | Overseas Regulatory Announcement - Standard Chartered PLC |
| 29 February 2012 | Results for the Year Ended 31 December 2011 |
| 05 March 2012 | Monthly Return of Equity Issuer on Movements in Securities for the month ended 29/02/2012 |
| 05 March 2012 | Voting Rights and Capital |
| 06 March 2012 | Publication of Supplementary Prospectus |
| 06 March 2012 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 14 March 2012 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 14 March 2012 | Grant of Share Options |
| 15 March 2012 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 15 March 2012 | Exercise of Option to Redeem Notes |
| 20 March 2012 | Overseas Regulatory Announcement - Standard Chartered PLC |
| 22 March 2012 | Annual Report 2011 |
| 22 March 2012 | 2011 Final Dividend |
| 22 March 2012 | Dividend Terms and Conditions |
| 22 March 2012 | Form of Proxy |
| 22 March 2012 | Notice of Availability to shareholders |
| 22 March 2012 | Notice of Availability to Non-registered holders |
| 22 March 2012 | Election Form |
| 22 March 2012 | Notice of Entitlement |
| 22 March 2012 | Notice of Annual General Meeting 2012 |
| 22 March 2012 | (Revised) Notice of Availability to Non-registered holders |
| 23 March 2012 | Notice of Annual General Meeting 2012 |
| 26 March 2012 | Overseas Regulatory Announcement - Standard Chartered PLC |
| 28 March 2012 | Notification of Transactions of Directors, Persons Discharging Managerial Responsibility and/or Connected Persons |
| 29 March 2012 | Standard Chartered agrees transfer of business in Afghanistan |
| 30 March 2012 | Articles of Association |
30 March 2012
Terms of Reference of Audit Committee
30 March 2012
Terms of Reference of Remuneration Committee
30 March 2012
Terms of Reference of Board Nomination Committee
30 March 2012
List of Directors and their Roles and Functions
30 March 2012
Standard Chartered PLC - Pillar 3 Disclosure 2011
10 April 2012
Monthly Return of Equity Issuer on Movements in Securities for the month ended 31/03/2012
11 April 2012
Voting Rights and Capital
16 April 2012
Exercise of Option to Redeem Notes and Delisting of Notes
- Documents filed with the Companies Registry in Hong Kong
The following documents have been filed by the Company with the Companies Registry in Hong Kong during the previous 12 months up to and including 16 April 2012. Copies of these documents may be obtained from the Companies Registry in Hong Kong, 14th Floor, Queensway Government Offices, 88 Queensway, Hong Kong - email:[email protected] - or, if you are a registered user, through ICRIS at www.icris.cr.gov.hk.
| Date of Filing | Document Type | Brief Description |
|---|---|---|
| 07 November 2011 | N7 | Change of Particulars of Valerie Frances Gooding and Paul David Skinner as directors |
| 07 November 2011 | N3 | Annual Return of Standard Chartered PLC along with accounts for the financial year ended 31 December 2010 |
| 10 January 2012 | N6 | Appointment of Viswanathan Shankar as director |
- Documents filed with the Bombay Stock Exchange and the National Stock Exchange of India (Indian Exchanges)
Further to the announcements made with the London Stock Exchange and Stock Exchange of Hong Kong Limited, where appropriate, the following additional documents have also been filed by the Company with the Indian Exchanges during the previous 12 months. Copies of these documents may be obtained from www.nse-india.com and www.bseindia.com.
Date of Publication
Document
03 May 2011 Updates on Final Dividend 2010
11 July 2011 Quarterly return showing Distribution of IDR holding as on 30 June 2011
17 October 2011 Quarterly return showing Distribution of IDR holding as on 30 September 2011
09 January 2012 Quarterly return showing Distribution of IDR holding as on 31 December 2011
22 February 2012 Record date for Final Dividend
13 April 2012 Quarterly return showing Distribution of IDR holding as on 31 March 2012
A copy of this annual information update is available on request from the Company's registered office at 1 Aldermanbury Square, London, EC2V 7SB; and its principal place of business in Hong Kong at 32nd Floor, 4-4A Des Voeux Road, Central, Hong Kong.
This announcement has been submitted to the UK Listing Authority and will be shortly available on the National Storage Mechanism website at www.hemscott.com/nsm.do.
For further information, please contact Michelle Amey, Assistant Group Secretary, +44 20 7885 7023.
17 April 2012
As at the date of this announcement, the Board of Directors of Standard Chartered PLC comprises:
Chairman:
Sir John Wilfred Peace
Executive Directors:
Mr Peter Alexander Sands; Mr Stefano Paolo Bertamini; Mr Jaspal Singh Bindra; Mr Richard Henry Meddings; Mr Alun Michael Guest Rees and Mr Viswanathan Shankar
Independent Non-Executive Directors:
Mr Richard Delbridge; Mr James Frederick Trevor Dundas; Ms Valerie Frances Gooding, CBE; Dr Han Seung-soo, KBE; Mr Simon Jonathan Lowth; Mr Rudolph Harold Peter Markham (Senior Independent Director); Ms Ruth Markland; Mr John Gregor Hugh Paynter; Mr Paul David Skinner and Mr Oliver Henry James Stocken