- (1) 36(except
83114114as otherwise provided for below):83
- (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
- (c) (in relation to an interest in a limited partnership except for a limited partnership scheme112) the partnership;36
- (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
- (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, 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
- (2B) (in chapter 5 of DTR):85
- (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 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
- (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
- 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.