Checklist instructions
Instructions for completing checklists
When completing checklists, sponsors or authorised advisers must do three things:
1. Provide information on the:
- name of the company;
- nature of the transaction;
- name of the sponsor/authorised adviser; and
- date the checklist is submitted.
2. Complete the checklist box using the instructions below.
3. Add brief comments, if appropriate (see below for further details).
When do I submit the checklists?
- We will only accept documents for review if all relevant checklists are submitted and they are substantially complete and accurate.
- You should submit updated checklists with each draft of the document. You only need to amend page references when text has been changed to comply with a Listing or Prospectus Rule.
- For final document approval we require a final copy of the checklist
or checklists and the final document page references for each Listing or Prospectus
Rule signed by the sponsor or authorised adviser.
Sponsors and authorised advisers do not have to provide a separate letter stating that items are non-applicable under paragraph Prospectus Rule 3.1.1 (4) or Listing Rule 13.2.4 (2) at the time of document approval. Instead, they may state that they are non-applicable at the bottom of the signed checklist.
Completing the checklist
When completing the checklist, please use only these options:
| Option | When to use it |
|---|---|
| Page reference | This page reference should correspond with the notes on the document |
| N/A | If an item is either non-applicable, or there is no information to be disclosed within the document at this point |
| Variation | If a derogation is sought for an item |
| N/R | If an item is not relevant |
| Omission | If you wish to omit an item |
Where items are N/A, N/R or omission, please explain why.
Comments
To keep checklists as short as possible, only a small amount of space has been set aside for comments. If you need further space, please either:
- attach a separate sheet of paper to the checklist, cross-referencing all comments to the appropriate listing rule; or
- call the UK Listing Authority Helpdesk to determine whether the issue can be dealt with directly, removing the need for further comments.
If you have any enquiries about completing these checklists, or any other technical matter, please call the UK Listing Authority Helpdesk on 020 7066 8333 (option 2 for Equity and Capital Markets).