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

LR 1.4 Miscellaneous

Appointment of sponsor

LR 1.4.1RRP
  1. (1)

    If it appears to the FSA that there is, or there may be, a breach of the listing rules by an issuer with a primary listing, the FSA may in writing require the issuer to appoint a sponsor to advise the issuer on the application of the listing rules.

  2. (2)

    If required to do so under paragraph (1), an issuer must, as soon as practicable, appoint a sponsor to advise it on the application of the listing rules.

Note: LR 8.2 sets out the various circumstances in which an issuer must appoint, or obtain guidance from, a sponsor.

Overseas companies

LR 1.4.2RRP

If a listing rule refers to a requirement in legislation applicable to a listed company incorporated in the United Kingdom, a listed overseas company must comply with the requirement so far as:

  1. (1)

    information available to it enables it to do so; and

  2. (2)

    compliance is not contrary to the law in its country of incorporation.

LR 1.4.3RRP

A listed overseas company must, if required to do so by the FSA, provide the FSA with a letter from an independent legal adviser explaining why compliance with a requirement referred to in LR 1.4.2 R is contrary to the law in its country of incorporation.

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LR 1.4.4R

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LR 1.4.5G

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English language

LR 1.4.6RRP

A document that is required under a listing rule to be filed, notified to a RIS, provided to the FSA or sent to security holders must be in English.

Market abuse safe harbours

LR 1.4.7R

Pursuant to section 118A(5) of the Act, behaviour conforming with the listing rules specified in LR 1 Annex 1 RR does not amount to market abuse under section 118(1) of the Act.

Fees

LR 1.4.8GRP

The provisions relating to periodic fees for issuers and sponsors are set out in FEES 1, 2 and 4.1

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Electronic Communication

LR 1.4.9GRP
  1. (1)

    If the listing rules require an issuer to send documents to its security holders, the issuer may, in accordance with DTR 6.1.8 R, use electronic means to send those documents.3

LR 1.4.10R
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