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

LR 3.2 Application for admission to listing

Location of official list

LR 3.2.1GRP

The FSA will maintain the official list on its website.

Method of application

LR 3.2.2RRP

An applicant for admission must apply to the FSA by:

  1. (1)

    submitting, in final form:

    1. (a)

      the documents described in LR 3.3 in the case of an application in respect of equity securities;

    2. (b)

      the documents described in LR 3.4 in the case of an application in respect of debt securities or other securities;

    3. (c)

      the documents described in LR 3.5 in the case of a block listing;

  2. (2)

    submitting all additional documents, explanations and information as required by the FSA;

  3. (3)

    submitting verification of any information in such manner as the FSA may specify; and

  4. (4)

    paying the fee set out in FEES 3 by the required date.1

    1
LR 3.2.3GRP

Before submitting the documents referred to in LR 3.2.2 R (1), an applicant should contact the FSA to agree the date on which the FSA3will consider the application.

3
LR 3.2.4RRP

All documents must be submitted to the Listing Applications teamat the FSA's address.

Grant of an application for admission to listing

LR 3.2.5GRP

The FSA will admit securities to listing if all relevant documents required byLR 3.2.2 R2 have been submitted to the FSA.

2
LR 3.2.6GRP

When considering an application for admission to listing, the FSA may:

  1. (1)

    carry out any enquiries and request any further information which it considers appropriate, including consulting with other regulators or exchanges;

  2. (2)

    request that an applicant, or its specified representative answer questions and explain any matter the FSA considers relevant to the application for listing;

  3. (3)

    take into account any information which it considers appropriate in relation to the application for listing;

  4. (4)

    request that any information provided by the applicant be verified in such manner as the FSA may specify; and

  5. (5)

    impose any additional conditions on the applicant as the FSA considers appropriate.

LR 3.2.7GRP

The admission becomes effective only when the FSA's decision to admit the securities to listing has been announced by being either:

  1. (1)

    disseminated by a RIS; or

  2. (2)

    posted on a notice board designated by the FSA should the electronic systems be unavailable.