Application for listing definition

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Listing requirements and continuing obligations—premium listing and standard listing—prior to 29 July 2024

Listing requirements and continuing obligations—premium listing and standard listing—prior to 29 July 2024 A significant restructuring of the UK listing regime came into effect on 29 July 2024 which included the removal of the premium and standard listing segments and the creation of a single listing category for equity shares in commercial companies. The commercial companies category is heavily disclosure-based and sits alongside other listing categories such as the shell companies, secondary listing and closed ended investment fund categories.  The UK Listing Rules sourcebook came into force to implement the changes and the Listing Rules sourcebook was revoked. For further information see Practice Note: Reform of the UK listing regime—fundamentals. This checklist reflects the listing regime prior to 29 July 2024 and has been retained for reference purposes. This checklist compares the listing requirements and key continuing obligations that previously applied to a commercial company with a listing of equity securities on the premium and standard listing segments prior to 29 July 2024. Requirements for listing—prior to 29 July 2024...

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List of documents—secondary offers—placing and open offer—Main Market

List of documents—secondary offers—placing and open offer—Main Market References to ‘UKLR’ are to the UK Listing Rules, to ‘PRR’ are to the Prospectus Regulation Rules, to ‘DTR’ are to the Disclosure Guidance and Transparency Rules and to LSE A&D are to the London Stock Exchange’s Admission and Disclosure Standards. Preliminary documents Document Responsibility Status List of parties Sponsor Timetable Sponsor List of documents Sponsor Engagement letters Document Responsibility Status Sponsor’s engagement letter Sponsor Broker’s engagement letter Broker [Reporting accountants’ engagement letter] [Reporting accountants] Company’s solicitors’ engagement letter Company’s solicitors Sponsor’s solicitors’ engagement letter Sponsor’s solicitors Printer’s engagement letter Printer Public relations firm engagement letter Public relations firm [Competent person’s engagement letter] [Competent person] Key documents Document Responsibility Status [Pathfinder prospectus] [All parties] Final Prospectus [and circular] All parties Verification notes for prospectus Company/company’s solicitors Marketing presentation Broker/company Verification notes for marketing presentation Company/company’s solicitors Placing and open offer...

List of documents—takeover by way of scheme of arrangement

List of documents—takeover by way of scheme of arrangement Except as noted, all documents will be in the list of documents for both offeror and offeree. References to the ‘Code’ are to The City Code on Takeovers and Mergers and references to the ‘CA 2006’ are to the Companies Act 2006. No. Document title Code/statutory reference (where relevant) Responsibility A. Preliminary documents 1. List of documents OfferEE/OFFEROR 2. Scheme timetable OfferEE/OFFEROR 3. List of parties OfferEE/OFFEROR 4. Financial adviser’s letter to clients re: secrecy etc Rule 2.1(b) FINANCIAL ADVISER 5. Due diligence checklist OFFEROR AND (IF APPROPRIATE) OFFEREE 6. Request to search offeree share register and register of interests, and for other information concerning offeree share capital, shareholders and option holders etc CA 2006, ss 114 and 808 Note 3 on Rule 10.1 OFFEROR 7. Request for information concerning share interests CA 2006, s 793 OFFEREE/OFFEROR 8. Request for information supplied to competing offeror (if appropriate) Rule 21.3 OFFEROR 9. Memorandum...

View the latest UK Parliament Acts documents on Application for listing

74 The official list

(1)     The [FCA] must maintain the official list.(2)     The [FCA] may admit to the official list such securities and other things as it considers appropriate.(3)     But—(a)     nothing may be admitted to the official list except in accordance with this Part; and(b)     the Treasury may by order provide that anything which falls within a description or category specified in the order may not be admitted to the official list.(4)     . . .(5)     In the following provisions of this Part—. . .“listing” means being included in the official list in accordance with this Part.

75 Applications for listing

(1)     Admission to the official list may be granted only on an application made to the [FCA] in such manner as may be required by listing rules.(2)     No application for listing may be entertained by the [FCA] unless it is made by, or with the consent of, the issuer of the securities concerned.(3)     No application for listing may be entertained by the [FCA] in respect of securities which are to be issued by a body of a prescribed kind.(4)     The [FCA] may not grant an application for listing unless it is satisfied that—(a)     the