Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

DTR 1.1 Application and purpose

DTR 1.1.1RRP

1The disclosure rules apply as follows:

  1. (1)

    DTR 1 and DTR 2 apply to an issuer whose financial instruments are admitted to trading on a regulated market in the United Kingdom or for which a request for admission to trading on a regulated market in the United Kingdom has been made;

  2. (2)

    DTR 3 applies to an issuer that is incorporated in the United Kingdom:

    1. (a)

      whose financial instruments are admitted to trading on a regulated market; or

    2. (b)

      for whose financial instruments a request for admission to trading on a regulated market in the United Kingdom has been made;

  3. (3)

    the following apply to person discharging managerial responsibility, including directors, and connected persons:

    1. (a)

      DTR 1.1 and DTR 1.2;

    2. (b)

      DTR 1.3.1 R - DTR 1.3.2 G and DTR 1.3.8 R;

    3. (c)

      DTR 1.4;

    4. (d)

      DTR 1.5.3 G; and

    5. (e)

      DTR 3; and

  4. (4)

    DTR 3 applies to a non-EEA state issuer which is required to file, with the FSA, annual information in relation to shares in accordance with Article 10 of the Prospectus Directive.

Purpose

DTR 1.1.2GRP

The purpose of the disclosure rules is to implement:

  1. (1)

    Article 6 of the Market Abuse Directive;

  2. (2)

    Articles 2 and 3 of Commission Directive 2003/124/EC; and

  3. (3)

    Articles 5 and 6 of Commission Directive 2004/72/EC.

FSA

DTR 1.1.3GRP

In relation to the disclosure rules, the FSA is exercising its functions as the competent authority under Part VI of the Act (see section 72(1) of the Act).

Other relevant parts of Handbook

Note: Other parts of the Handbook that may also be relevant to persons to whom

the disclosure rules apply include DEC (the Decision making manual), Chapter 9 of SUP (the Supervision manual) and Chapter 21 of ENF (the Enforcement manual).

Note: A list of regulated markets can be found on the FSA website at the following address: www.fsa.gov.uk/register/exchanges.do