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LR 4.1 Application and Purpose

Application

LR 4.1.1R

1This chapter applies to an issuer that has applied for the admission of:

  1. (1)

    securities specified in Schedule 11A of the Act (other than securities specified in paragraphs 2, 4 or 9 of that Schedule); or

  2. (2)

    any other specialist securities for which a prospectus is not required under the prospectus directive.

Purpose

LR 4.1.2G
  1. (1)

    The purpose of this chapter is to require listing particulars to be prepared and published for securities that are the subject of an application for listing in the circumstances set out in LR 4.1.1 R where a prospectus is not required under the prospectus directive.

Listing particulars to be approved and published

LR 4.1.3R

An issuer must ensure that listing particulars for securities referred to in LR 4.1.1 R are approved by the FCA and published in accordance with LR 4.3.5 R.

Note: Under LR 2.2.11 R, the securities will only be listed if listing particulars for the securities have been approved by the FCA and published.