Content Options

View Options

issuer

      1. (1) 36(except 5 83114114as otherwise provided for below):83
        1. (a) (in relation to any security) (other than a unit in a collective investment scheme) the person by whom it is or is to be issued;36
        1. (b) (in relation to a unit in a collective investment scheme) the operator of the scheme; 36
        1. (c) (in relation to an interest in a limited partnership except for a limited partnership scheme112) the partnership;36
        1. (d) (in relation to certificates representing certain securities) the person who issued or is to issue the security to which the certificate or other instrument relates57; or57 36
        1. (e) an entity which issues transferable securities and, where appropriate, other financial instruments.57

    [Note: article 2(2) of the MiFID Regulation]57

      1. (2) (in MAR 1,145 chapters 1, 2 and 3 of56 DTR and FEES in relation to DTR40)145 34
        as defined in article 3(1)(21) of the Market Abuse Regulation.145
      1. (2A) (in chapters 1A, 1B, 764, 6 and 7 76of DTR) a person138, including a State, whose securities are admitted to trading on a regulated market; in the case of depository receipts admitted to trading on a regulated market, the issuer means the issuer of the securities represented by the depositary receipt, whether or not those securities are admitted to trading on a regulated market.13856
      1. (2B) (in chapter 5 of DTR):85 56
        1. (a) a person138, including a State whose shares are admitted to trading on a regulated market; in the case of depository receipts admitted to trading on a regulated market, the issuer means the issuer of the securities represented by the depositary receipt, whether or not those securities are admitted to trading on a regulated market;138 or56
        1. (b) a public company within the meaning of section 4(2)85of the Companies Act 200685 and any other body corporate incorporated in and having a principal place of business in the8560 United Kingdom 60 , whose shares are admitted to trading on a market which (not being a regulated market) is a prescribed market.56
      1. (3) (in LR and FEES in relation to LR40) any company or other legal person or undertaking (including a public sector issuer), any class of whose securities has been admitted to listing or is the subject of an application for admission to listing.36
      1. (4) (in PR and FEES in relation to PR40) (as defined in section 102A of the Act) a legal person who issues or proposes to issue the transferable securities in question.36
      1. 81(5) (in RCB and 104FEES 1 to FEES 4104, where applicable)103 (as defined in Regulation 1(2) of the RCB Regulations) a person which issues a covered bond.
      1. (6) (in FUND) means an issuer within the meaning of article 2(1)(d) of the Transparency Directive where that issuer has its registered office in the EEA and where its shares are admitted to trading on a regulated market.