Content Options:

Add to favourites

View Options:

More Resources:

External link Handbook Publications

You are viewing the version of the document as on 2022-01-02.

LR 3.2 Application for admission to listing

Location of official list

LR 3.2.1GRP

The FCA will maintain the official list on its website.

Method of application

LR 3.2.2RRP

An applicant for admission must apply to the FCA 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 shares;4

      4
    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 FCA;

  3. (3)

    submitting verification of any information in such manner as the FCA 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 FCA to agree the date on which the FCA will consider the application.

3
LR 3.2.4RRP

All documents must be submitted to the Issuer Management5at the FCA's address.

5

Grant of an application for admission to listing

LR 3.2.5GRP

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

2
LR 3.2.6GRP

When considering an application for admission to listing, the FCA 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 FCA 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 FCA may specify; and

  5. (5)

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

LR 3.2.7GRP

The admission becomes effective only when the FCA'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 FCA should the electronic systems be unavailable.