DTR 6.4 Disclosure of Home State

Application

DTR 6.4.1R

In respect of transferable securities which are admitted to trading on a regulated market, this section applies to:

  1. (1)

    an issuer whose Home State is the United Kingdom in accordance with the first indent of1 article 2.1(i)(i) of the TD; and

  2. (2)

    an issuer who chooses the United Kingdom as its Home State in accordance with:1

    1. (a)

      the second indent of article 2.1(i)(i) of the TD; or1

    2. (b)

      article 2.1(i)(ii) of the TD; or1

    3. (c)

      article 2.1(i)(iii) of the TD.1

Disclosure of Home State1

DTR 6.4.2R

An issuer1 must disclose that its Home State is the United Kingdom1 in accordance with DTR 6.2 and1 DTR 6.3.

[Note: article 2.1(i) of the TD1]

DTR 6.4.3R

1An issuer must disclose its Home State to the competent authority of:

  1. (1)

    where applicable, the EEA State where it has its registered office;

  2. (2)

    the Home State; and

  3. (3)

    each Host State.

[Note: article 2.1(i) of the TD]

DTR 6.4.4R

1Where an issuer has not disclosed its Home State as defined by the second indent of article 2.1(i)(i) of the TD or article 2.1(i)(ii) of the TD in accordance with DTR 6.4.2R and DTR 6.4.3R within a period of three months from the date the issuer’s securities are first admitted to trading on a regulated market, the Home State shall be:

  1. (1)

    the EEA State where the issuer’s securities are admitted to trading on a regulated market; or

  2. (2)

    where the issuer’s securities are admitted to trading on regulated markets situated or operating within more than one EEA State, those EEA States shall be the issuer’s Home State until a subsequent choice of a single Home State has been made and disclosed by the issuer in accordance with DTR 6.4.2R and DTR 6.4.3R.

[Note: article 2.1(i) of the TD]