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

You are viewing the version of the document as on 2023-12-15.

Timeline guidance

DTR 3.1

Purpose

DTR 3.1.1GRP

This chapter contains guidance on certain of6 the notification obligations of issuers, persons discharging managerial responsibilities and their connected persons under article 19 of the Market Abuse Regulation6, in respect of transactions conducted on their own account in shares or debt instruments6 of the issuer, or derivatives or any other financial instrument relating to those shares.

1

Notification of transactions by persons discharging managerial responsibilities

DTR 3.1.2R

[deleted]6

DTR 3.1.2-AUK

[article 19(1) of the Market Abuse Regulation]7

DTR 3.1.2AGRP
  1. (1)

    [deleted]6

    5
  2. (2)

    5An individual may be a "senior executive", as defined in article 3(1)(25)(b) of the Market Abuse Regulation,6 irrespective of the nature of any contractual arrangements between the individual and the issuer and notwithstanding the absence of a contractual arrangement between the individual and the issuer, provided the individual has regular access to inside information relating, directly or indirectly, to the issuer and has power to make managerial decisions affecting the future development and business prospects of the issuer.

DTR 3.1.2BGRP

6The threshold above which the obligations under article 19(1) of the Market Abuse Regulation will apply to the transactions of a particular person discharging managerial responsibilities or connected person is set out in article 19(8) of the Market Abuse Regulation.

DTR 3.1.3R

[deleted]6

DTR 3.1.3AUK

[article 19(6) of the Market Abuse Regulation]7

Notification of transactions by issuers to a RIS

DTR 3.1.4R

[deleted]6

[Note: article 19 (3) of the Market Abuse Regulation]6
DTR 3.1.5R

[deleted]6

[Note: article 19 (6) of the Market Abuse Regulation]6
DTR 3.1.6R

[deleted]6

22233
DTR 3.1.7G

[deleted]6

DTR 3.1.8R

[deleted]6