- (1) 36(except in
, LR, PR and DTR3436)
- (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
- (2) (in chapters 1, 2 and 3 of56 DTR and FEES in relation to DTR40) any company or other legal person or undertaking (including a public sector issuer), any class of whose financial instruments:34issuers who have not requested or approved admission of their financial instruments to trading on a regulated market.
- (2A) (in chapters 1A, 4, 6 of DTR) a legal entity governed by private or public law, including a State, whose securities are admitted to trading on a regulated market, the issuer being, in the case of depository receipts representing securities, the issuer of the securities represented;56
- (2B) (in chapter 5 of DTR)
- (a) a legal entity governed by private or public law, including a State whose shares are admitted to trading on a regulated market, the issuer being in the case of depositary receipts representing securities, the issuer of the shares represented; or56
- (b) a public company within the meaning of section 1(3)of the Companies Act 1985 and any other body corporate incorporated in and having a principal place of business in60 United Kingdom 60 , whose shares are admitted to trading on a market which (not being a regulated market) is a prescribed market.56