Related provisions for LR 17.3.3A

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To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004 (From field only).

(1) 7In addition to instruments admitted to or dealt in on an eligible market, a UCITS scheme may also with the express consent of the FCA (which takes the form of a waiver under sections 138A and 138B of the Act as applied by section 250 of the Act or regulation 7 of the OEIC Regulations) invest in an approved money-market instrument provided:(a) the issue or issuer is itself regulated for the purpose of protecting investors and savings in accordance with COLL 5.2.10AR (2);(b)
LR 3.3.6RRP
An applicant must keep copies of the following for six years after the admission to listing2:2(1) any agreement to acquire any assets, business or shares4 in consideration for or in relation to which the company's shares4are being issued;44(2) any letter, report, valuation, contract or other documents referred to in the prospectus, listing particulars, circular or other document issued in connection with those shares;44(3) the applicant'sconstitution as at the date of admission;(4)
PR 2.4.6EURP
Article 28 of the PD Regulation provides examples of information that may be incorporated by reference:Arrangements for incorporation by reference1.Information may be incorporated by reference in a prospectus or base prospectus, notably if it is contained in one the following documents:(1)annual and interim financial information;(2)documents prepared on the occasion of a specific transaction such as a merger or demerger;(3)audit reports and financial statements;(4)memorandum and
PR 3.4.4EURP
Commission Delegated Regulation (EU) No 382/2014 supplementing Directive 2003/71/EC of the European Parliament and of the Council with regard to regulatory technical standards for publication of supplements to the prospectus provides that:Recital 5It is not possible to identify all the situations in which a supplement to the prospectus is required as this may depend on the issuer and securities involved. Therefore, it is appropriate to specify the minimum situations where a supplement
2Articles 26a, 26b and 26c respectively provide for a proportionate disclosure regime for rights issues (as defined by the PD Regulation); for small and medium-sized enterprises and companies with reduced market capitalisation; and for issues by credit institutions referred to in Article 1 (2) (j) of the PD.4Proportionate schedule for rights issues26a1.The proportionate schedules set out in Annexes XXIII and XXIV shall apply to rights issues, provided that the issuer has shares
LR App 2.1.2GRP
29.8Annual financial report9.81R[not used]9.8.2R[not used]9.8.3R[not used]Information to be included in annual report and accounts9.8.4RIn addition to the requirements set out in DTR 4.1 a listed company must include in its annual financial report, where applicable, the following: (1)a statement of the amount of interest capitalised by the group during the period under review with an indication of the amount and treatment of any related tax relief;(2)any information required by
LR App 1.1.1RP
1Note: The following definitions relevant to the listing rules are extracted from the Glossary.ActThe Financial Services and Markets Act 2000.admission or admission to listing admission of securities to the official list .admission to tradingadmission of securities to trading on an RIE's market for listedsecurities.advertisement(as defined in the Prospectus Regulation51) a communication with both of the following characteristics51:(a)relating to a specific offer to the public
PR App 3.1.1EURP
1The following schedules and building blocks and tables of combinations are copied from the PD Regulation:6[Note: See transitional provisions in Regulation (EU) No 862/2012 and Regulation (EU) No 759/20137]ANNEX IMinimum Disclosure Requirements for the Share Registration Document (schedule)71.PERSONS RESPONSIBLE1.1.All persons responsible for the information given in the Registration Document and, as the case may be, for certain parts of it, with, in the latter case, an indication