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

issuer

      1. (1) 36(except in 5 CIS , LR, PR and DTR3436)
        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) 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 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:34
        1. (a) have been admitted to trading on a regulated market; or
        1. (b) are the subject of an application for admission to trading on a regulated market;
        other than issuers who have not requested or approved admission of their financial instruments to trading on a regulated market.
      1. (2A) (in chapters 1A, 1B, 764, 6 and 7 76of 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
      1. (2B) (in chapter 5 of DTR) 56
        1. (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
        1. (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
      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) (as defined in Regulation 1(2) of the RCB Regulations) a person which issues a covered bond.