UKLR 1.1 Introduction

UKLR 1 – Preliminary: all securities

Applies to all issuers, sponsors and persons applying for approval as a sponsor.

UKLR 2 – Listing Principles

Applies to all listed companies.

UKLR 3 – Requirements for listing: all securities

Applies to all applicants for admission to listing unless a rule is specified only to apply to a particular type of applicant or security.

UKLR 4 – Sponsors: responsibilities of issuers

Applies to issuers with a listing and applicants for admission to listing in the equity shares (commercial companies) category, the closed-ended investment funds category or the equity shares (shell companies) category.

UKLR 5 – Equity shares (commercial companies): requirements for admission to listing

Applies to applicants for admission to listing in the equity shares (commercial companies) category.

UKLR 6 – Equity shares (commercial companies): continuing obligations

Applies to companies with a listing in the equity shares (commercial companies) category.

UKLR 7 – Equity shares (commercial companies): significant transactions and reverse takeovers

Applies to companies with a listing in the equity shares (commercial companies) category.

UKLR 8 – Equity shares (commercial companies): related party transactions

Applies to companies with a listing in the equity shares (commercial companies) category.

UKLR 9 – Equity shares (commercial companies): further issuances, dealing in own securities and treasury shares

Applies to companies with a listing in the equity shares (commercial companies) category.

UKLR 10 – Equity shares (commercial companies): contents of circulars

Applies to companies with a listing in the equity shares (commercial companies) category.

UKLR 11 – Closed-ended investment funds: requirements for listing and continuing obligations

Applies to issuers with a listing and applicants for admission to listing in the closed-ended investment funds category.

UKLR 12 – Open-ended investment companies: requirements for listing and continuing obligations

Applies to issuers with a listing and applicants for admission to listing in the open-ended investment companies category.

UKLR 13 – Equity shares (shell companies): requirements for listing and continuing obligations

Applies to issuers with a listing and applicants for admission to listing in the equity shares (shell companies) category.

UKLR 14 – Equity shares (international commercial companies secondary listing): requirements for listing and continuing obligations

Applies to issuers with a listing and applicants for admission to listing in the equity shares (international commercial companies secondary listing) category.

UKLR 15 – Certificates representing certain securities (depositary receipts): requirements for listing and continuing obligations

Applies to issuers with a listing and applicants for admission to listing in the certificates representing certain securities category.

UKLR 16 – Non-equity shares and non-voting equity shares: requirements for listing and continuing obligations

Applies to issuers with a listing and applicants for admission to listing in the non-equity shares and non-voting equity shares category.

UKLR 17 – Debt and debt-like securities: continuing obligations

Applies to issuers with a listing in the debt and debt-like securities category.

UKLR 18 – Securitised derivatives: requirements for listing and continuing obligations

Applies to issuers with a listing and applicants for admission to listing in the securitised derivatives category.

UKLR 19 – Warrants, options and other miscellaneous securities: continuing obligations

Applies to issuers with a listing in the warrants, options and other miscellaneous securities category.

UKLR 20 – Admission to listing: processes and procedures

Applies to applicants for admission to listing.

UKLR 21 – Suspending, cancelling and restoring listing and transfer between listing categories: all securities

Applies to all issuers.

UKLR 22 – Equity shares (transition): continuing obligations

Applies to companies with a listing in the equity shares (transition) category.

UKLR 23 – Listing particulars for professional securities market and certain other securities: all securities

Applies to applicants for admission to listing which are required to prepare listing particulars.

UKLR 24 – Sponsors

Applies to sponsors and persons applying for approval as a sponsor.