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Status: You are viewing the version of the handbook as on 2009-03-31.

LR 1.1 Introduction

Application

LR 1.1.1RRP

1LR applies as follows:

  1. (1)

    all of LR (other than LR 8.3, LR 8.4, LR 8.6 and LR 8.7) applies to an issuer; and

  2. (2)

    LR 1, LR 8.1, LR 8.3, LR 8.4, LR 8.6 and LR 8.7 apply to a sponsor and a person applying for approval as a sponsor.

FSA performing functions as competent authority

Note: In relation to the listing rules, the FSA is performing functions as the competent authority under Part VI of the Act (see section 72(1) of the Act).

Note: when exercising its functions as the competent authority under Part VI of the Act, the FSA may use the name: the UK Listing Authority.

Other relevant parts of Handbook

Note: Other parts of the Handbook that may also be relevant to issuers or sponsors include DTR (the Disclosure Rules and Transparency Rules sourcebook), PR (the Prospectus Rules sourcebook), COBS3 (the Conduct of Business sourcebook), DEPP (Decision Procedure and Penalties Manual)2, Chapter 9 of SUP (the Supervision manual) and GEN (General Provisions).

The following Regulatory Guides may also be relevant to issuers or sponsors:2

1. The Enforcement Guide (EG)2

2. [intentionally blank]2

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