LR 9.2 Requirements with continuing application

A listed company must comply with LR 2.2.3 R at all times.

A listed company must inform the FSA in writing as soon as possible if it has:

1. (1)

   requested a RIE to admit or re-admit any of its listed equity securities or listed preference shares to trading; or

2. (2)

   requested a RIE to cancel or suspend trading of any of its listed equity securities or listed preference shares; or

3. (3)

   been informed by a RIE that trading of any of its listed equity securities or listed preference shares will be cancelled or suspended.

A listed company must comply with LR 6.1.23 R at all times.

A listed company must appoint a registrar in the United Kingdom unless it provides financial services and itself performs the functions of a registrar in the United Kingdom. [Note: Article 65(2) CARD]

A listed company that is not already required to comply with DTR 2 (Disclosure and control of inside information by issuers) must comply with DTR 2 as if it were an issuer for the purposes of the disclosure rules and transparency rules.

No dealings in any securities may be effected by or on behalf of a listed company or any other member in its group at a time when, under the provisions of the Model Code, a director of the company would be prohibited from dealing in its securities, unless such dealings are entered into:

1. (1)

   in the ordinary course of business by a securities dealing business; or

2. (2)

   on behalf of third parties by the company or any other member of its group.

A listed company must require:

1. (1)

   every person discharging managerial responsibilities, including directors; and

2. (2)

   every employee of the company or any group company with access to inside information;

to comply with the Model Code and to take all proper and reasonable steps to secure their compliance.

Where clearance is given to a person to deal in exceptional circumstances (pursuant to paragraph 9 of the Model Code) in a close period, the notification to a RIS required by DTR 3.1.4 R must also include a statement of the exceptional circumstances.

A listed company must ensure that the FSA is provided with up to date contact details of at least one appropriate person nominated by it to act as the first point of contact with the FSA in relation to the company's compliance with the listing rules and the disclosure rules and transparency rules.

A listed company must lodge two copies of any proposed amendment to its constitution with the FSA by no later than when it sends the notice convening the meeting to decide on the amendment. [Note: Article 66 CARD]

A listed company must comply with LR 6.1.19 R at all times.

A listed company that no longer complies with LR 6.1.19 R must notify the FSA as soon as possible of its non-compliance.

1. (1)

   This rule applies to a listed company that has published:

   1. (a)

      any unaudited financial information in a class 1 circular or a prospectus; or

   2. (b)

      any profit forecast or profit estimate.

2. (2)

   The first time a listed company publishes financial information as required by LR 9.7 to LR 9.9 after the publication of the unaudited financial information, profit forecast or profit estimate, it must:

   1. (a)

      reproduce that financial information, profit forecast or profit estimate in its next annual report and accounts;

   2. (b)

      produce and disclose in the annual report and accounts the actual figures for the same period covered by the information reproduced under paragraph (2)(a); and

   3. (c)

      provide an explanation of the difference, if there is a difference of 10% or more between the figures required by paragraph (2)(b) and those reproduced under paragraph (2)(a).