Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

Alternative versions

  2. Point in time
    2007-03-24

LR 9.1 Preliminary

Application: equity shares

LR 9.1.1RRP

1A company that has a primary listing of equity shares. must comply with all of the requirements of this chapter.

Application: preference shares

LR 9.1.2R

A company that has a primary listing of preference shares must comply with:

  1. (1)

    LR 9.2.1 R to 2LR 9.2.6B R2

  2. (2)

    LR 9.2.11 R to LR 9.2.12 G;

  3. (3)

    LR 9.2.14 R to LR 9.2.17 G;

  4. (4)

    LR 9.3.1 R to LR 9.3.10 G;

  5. (5)

    LR 9.5.1 R to LR 9.5.9 R;

  6. (6)

    LR 9.6.1 R to LR 9.6.4 R;

  7. (7)

    LR 9.6.6 R;

  8. (8)

    LR 9.6.11 R;

  9. (9)

    LR 9.6.19 R to LR 9.6.22 G;

  10. (10)

    LR 9.7A; and2

    2
  11. (11)

    LR 9.8, but not:

    1. (a)

      LR 9.8.4R (3);

    2. (b)

      [deleted]2

      2
    3. (c)

      [deleted]2

      2
    4. (d)

      LR 9.8.6R (6) and (7);

    5. (e)

      LR 9.8.8 R.2

      2
  12. (12)

    [deleted]2

    2
LR 9.1.2AG

2For the purposes of compliance with the transparency rules, the FSA considers that a listed company that issues preference shares should comply with DTR 4 (Periodic financial reporting), DTR 5 (Vote holder and issuer notification rules) and DTR 6 (Access to information) as if it were an issuer of debt securities as defined in the transparency rules.2

Application: securities convertible into equity shares

LR 9.1.3R

A company that has a primary listing of securities convertible into equity shares must comply with:

  1. (1)

    LR 9.2.1 R to 2LR 9.2.6B R2;

  2. (2)

    LR 9.2.11 R;

  3. (3)

    LR 9.2.13 G;

  4. (4)

    [deleted]2

    2
  5. (5)

    LR 9.5.11 R to LR 9.5.12 R;

  6. (6)

    LR 9.5.15 R to LR 9.5.16 R;

  7. (7)

    LR 9.6.1 R;

  8. (8)

    LR 9.6.3 R;

  9. (9)

    LR 9.6.4 R to LR 9.6.6 R;

  10. (10)

    LR 9.6.19 R to LR 9.6.22 G; and2

  11. (11)

    LR 9.8 but not:

    1. (a)

      LR 9.8.4R (3);

    2. (b)

      [deleted]2

      2
    3. (c)

      [deleted]2

      2
    4. (d)

      LR 9.8.6R (6) and LR 9.8.6R (7); and

    5. (e)

      LR 9.8.8 R.

LR 9.1.4R

A company that has a primary listing of securities convertible into equity shares must comply with LR 9.2.7 R to LR 9.2.10 R if the equity shares that the securities convert into are listed.