Listing Rules/PD document approval items
This is a new form summarising document approval items for various transaction types, and includes direct links to individual forms.
| Prospectus Rules | |
|---|---|
| Transaction type | Requirements |
| Equity | Registration Document (3 copies) |
| Securities Note and Summary (3 copies) | |
| Single Prospectus (3 copies) | |
| Supplementary Prospectus (3 copies) | |
| Form A – PR 3.1.1(1) | |
| Non-applicable letter - PR 3.1.1(4) | |
| Information incorporated by reference - PR 3.1.1(5) | |
| Variation request - PR 3.1.1(6) | |
| Application form to purchase or subscribe - PR 3.1.1(7) (if applicable) | |
| Issuer Contact Details Form - PR 3.1.1(9) | |
| Final Checklist(s) - PR 3.1.1(3) (with N/A wording alternative to PR 3.1.1(4)) | |
| Copy of Board resolution of the Issuer allotting the securities - PR 3.1.1(8) (or confirmation in Form A) | |
| Publication Form - PR 3.2 | |
| Non–equity
Including Debt, Convertible Bonds, Depositary Receipts and Listing Particulars under LR4 |
Registration Document (3 copies) |
| Securities Note and Summary (3 copies) | |
| Single Prospectus (3 copies) | |
| Supplementary Prospectus (3 copies) | |
| Listing Particulars (3 copies) | |
| Supplementary Listing Particulars (3 copies) | |
| Form A - PR 3.1.1(1) | |
| Non-applicable letter - PR 3.1.1(4) | |
| Information incorporated by reference - PR 3.1.1(5) | |
| Variation request - PR 3.1.1(6) | |
| Application form to purchase or subscribe - PR 3.1.1(7) (if applicable) | |
| Issuer Contact Details Form - PR 3.1.1(9) | |
| Final Checklist(s) - PR 3.1.1(3) (with N/A wording alternative to PR 3.1.1(4)) | |
| Copy of Board resolution of the Issuer allotting the securities- PR 3.1.1(8) (or confirmation in Form A) | |
| Publication Form - PR 3.2 | |
| Miscellaneous | Request to FSA to supply certificate of approval - PR 5.3.2 |
| Transfer to another competent authority - PR 3.1.12 | |
| Listing Rules | |
| Transaction type | Requirements |
| Eligibility/ Admission - Equity | Sponsor's Confirmation of Independence - LR8.7.12/No material change letter LR 8.7.14 |
| Sponsor's declaration on application for Listing - LR 8.4.3 or LR 8.4.9 | |
| Appointment of Sponsor letter LR 8.5.1 | |
| More than one Sponsor LR 8.5.3(2) | |
| Appointment of an agent letter from sponsorLR 8.7.18 | |
| Eligibility Letter from sponsor 8.4.3(4) | |
| Class 1 circular | Circular in final form (two copies) |
| Final Checklist(s) (with N/A wording alternative to LR 13.2.4(2)) | |
| Sponsor's Declaration for the Production of a Circular - LR 13.2.4(1) | |
| Non-applicable letter - LR 13.2.4(2) (or wording on checklists) | |
| Sponsor's Confirmation of Independence/no material change letter - LR 13.2.4(3) | |
| Appointment of Sponsor letter from listed company - LR 8.5.1 | |
| More than one Sponsor letter from listed company - LR 8.5.3(2) | |
| Appointment of an agent letter from Sponsor - LR 8.7.18 | |
| Class 2 Related party circular | Circular in final form (two copies) |
| Final Checklist(s)(with N/A wording alternative to LR 13.2.4(2)) | |
| Non-applicable letter - LR 13.2.4(2) (unless dealt on checklists) | |
| Circular purchase of own equity securities >25% | Circular in final form (two copies) |
| Final Checklist(s) | |
| Sponsor's Declaration for the Production of a Circular - LR 13.2.4(1) | |
| Sponsor's Confirmation of Independence/no material change letter - LR 13.2.4(3) | |
| Appointment of Sponsor letter from listed company - LR 8.5.1 | |
| More than one Sponsor letter from listed company - LR 8.5.3(2) (if applicable) | |
| Appointment of an agent letter from Sponsor - LR 8.7.18 (if applicable) | |
| Refinancing - reconstruction circular | Circular in final form (two copies) |
| Final Checklist(s) | |
| Sponsor's Declaration for the Production of a circular - LR 13.2.4(1) | |
| Sponsor's Confirmation of Independence/no material change letter - LR 13.2.4(3) | |
| Appointment of Sponsor letter from listed company - LR 8.5.1 | |
| More than one Sponsor letter from listed company - LR 8.5.3(2) (if applicable) | |
| Appointment of an agent letter from Sponsor - LR 8.7.18 (if applicable) | |
| General Circular requiring approval | Circular in final form (2 copies) |
| Final Checklist(s) | |
| Miscellaneous | Request to cancel or suspend - LR 5.3.1 |
| Application to modify or dispense with listing rule - LR 1.2.2 | |
| Written confirmations under - LR 10.8.3 - Class 1 disposal by company in severe financial difficulty | |
| Related party transaction letter - LR 11.1.10(2) | |
