Listing Rules - Financial Conduct Authority
Listing Rules
LR Contents
Listing Rules
LR 1
1.1 1.2 1.3 1.4 1.5 1.6 1 Annex 1
Preliminary: All securities
Introduction Modifying rules and consulting the FCA Information gathering and publication Miscellaneous Standard and Premium Listing Listing Categories Market abuse safe harbours
LR 2
2.1 2.2
Requirements for listing: All securities
Preliminary Requirements for all securities
LR 3
3.1 3.2 3.3 3.4 3.5
Listing applications: All securities
Application Application for admission to listing Shares Debt and other securities Block listing
LR 4
4.1 4.2 4.3 4.4
Listing particulars for professional securities market and certain other securities: All securities
Application and Purpose Contents and format of listing particulars Approval and publication of listing particulars Miscellaneous
LR 5
5.1 5.2 5.3 5.4 5.4A 5.5 5.6
Suspending, cancelling and restoring listing and reverse takeovers: All securities
Suspending listing Cancelling listing Requests to cancel or suspend Restoring listing Transfer between listing categories Miscellaneous Reverse takeovers
LR?i
handbook..uk
s Release 47 q Jan 2020
LR Contents
LR 6
6.1 6.2 6.3 6.4 6.5 6.6 6.7 6.8 6.9 6.10 6.11 6.12 6.13 6.14 6.15
Additional requirements for premium listing (commercial company)
Application Historical financial information requirements Revenue earning track record requirement Independent business Controlling shareholders Control of the business Working capital Warrants or options to subscribe Constitutional arrangements Specialist companies: mineral companies Specialist companies: scientific research based companies Specialist companies: property companies Externally managed companies Shares in public hands Shares of a non-EEA company
LR 7
7.1 7.2
Listing Principles and Premium Listing Principles
Application and purpose The Listing and Premium Listing Principles
LR 8
8.1 8.2 8.3 8.4 8.5 8.6 8.7
Sponsors: Premium listing
Application When a sponsor must be appointed or its guidance obtained Role of a sponsor: general Role of a sponsor: transactions Responsibilities of listed companies Criteria for approval as a sponsor Supervision of sponsors
LR 9
9.1 9.2 9.3 9.4 9.5 9.6 9.7A 9.8 9 Annex 1
Continuing obligations
Preliminary Requirements with continuing application Continuing obligations: holders Documents requiring prior approval Transactions Notifications Preliminary statement of annual results, and statement of dividends Annual financial report THE MODEL CODE (R)
LR 10
10.1 10.2 10.3
Significant transactions: Premium listing
Preliminary Classifying transactions
s Release 47 q Jan 2020
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LR?ii
LR Contents
10.4 10.5 10.6 10.7 10.8 10 Annex 1
Class 2 requirements Class 1 requirements [deleted] Transactions by specialist companies Miscellaneous The Class Tests
LR 11
Related party transactions: Premium listing
11.1
Related party transactions
11 Annex 1 Transactions to which related party transaction rules do not apply
LR 12
12.1 12.2 12.3 12.4 12.5 12.6
Dealing in own securities and treasury shares: Premium listing
Application Prohibition on purchase of own securities Purchase from a related party Purchase of own equity shares Purchase of own securities other than equity shares Treasury shares
LR 13
Contents of circulars: Premium listing
13.1 13.2 13.3 13.4 13.5 13.6 13.7 13.8 13 Annex 1
Preliminary Approval of circulars Contents of all circulars Class 1 circulars Financial information in Class 1 Circulars Related party circulars Circulars about purchase of own equity shares Other circulars Class 1 circulars
LR 14
14.1 14.2 14.3
Standard listing (shares)
Application Requirements for listing Continuing obligations
LR 15
15.1 15.2 15.3 15.4 15.5 15.6
LR?iii
Closed-Ended Investment Funds: Premium listing
Application Requirements for listing Listing applications and procedures Continuing obligations Transactions Notifications and periodic financial information
handbook..uk
s Release 47 q Jan 2020
LR Contents
LR 16
16.1 16.2 16.3 16.4
Open-ended investment companies: Premium listing
Application Requirements and eligibility for listing Listing applications Requirements with continuing application
LR 17
17.1 17.2 17.3 17.4 17.5
Debt and debt-like securities: Standard listing
Application Requirements for listing and listing applications Requirements with continuing application [deleted] Requirements for states, regional and local authorities and public international bodies
LR 18
18.1 18.2 18.3 18.4
Certificates representing certain securities: Standard listing
Application Requirements for listing Listing applications Continuing obligations
LR 19
19.1 19.2 19.3 19.4 19.5
Securitised derivatives: Standard listing
Application Requirements for listing Listing applications Continuing obligations Disclosures
LR 20
20.1 20.2 20.3 20.4 20.5
Miscellaneous Securities: Standard listing
Application Requirements for listing Listing applications Continuing obligations Disclosures
LR 21
21.1 21.2 21.3 21.4 21.5 21.6 21.7
Sovereign Controlled Commercial Companies: Premium listing
Application Requirements for listing: Equity shares Listing applications and procedures: Equity shares Continuing obligations: Equity shares Transactions with related parties: Equity shares Requirements for listing: Certificates representing shares Listing applications and procedures: Certificates representing shares
s Release 47 q Jan 2020
handbook..uk
LR?iv
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