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  4. Point in time
    2020-06-15

LR 17.4 1[deleted]1

LR 17.4.1R

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LR 17.4.2R

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LR 17.4.3R

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LR 17.4.4G

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LR 17.4.5R

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LR 17.4.6R

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LR 17.4.7RRP

In the case of debt securities guaranteed by another company, an issuer must submit to the FCA the annual report and accounts of the company that is providing the guarantee unless that company is listed or adequate information is otherwise available.

LR 17.4.8RRP

In the case of convertible securities which are exchangeable for securities of another company, an issuer must submit to the FCA the annual report and accounts of that other company unless that company is listed or adequate information is otherwise available.

Disclosure: asset-backed securities

LR 17.4.9RRP

Where an issuer proposes to issue further debt securities that are:

  1. (1)

    backed by the same assets; and

  2. (2)

    not fungible with existing classes of debt securities; or

  3. (3)

    not subordinated to existing classes of debt securities;

the issuer must inform the holders of the existing classes of debt securities.