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UKLR 20.2 Application for admission to listing

Location of official list

UKLR 20.2.1G

The FCA will maintain the official list on its website.

Method of application

UKLR 20.2.2R

An applicant for admission must apply to the FCA by:

  1. (1)

    submitting, in final form:

    1. (a)

      the document described in UKLR 20.3 in the case of an applicant which is making an application for admission for the first time;

    2. (b)

      the documents described in UKLR 20.4 in the case of an application in respect of shares;

    3. (c)

      the documents described in UKLR 20.5 in the case of an application in respect of debt securities or other securities; and

    4. (d)

      the documents described in UKLR 20.6 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.

UKLR 20.2.3G

Before submitting the documents referred to in UKLR 20.2.2R(1), an applicant should contact the FCA to agree the date on which the FCA will consider the application.

UKLR 20.2.4R

All documents must be submitted to Issuer Management at the FCA’s address.

Grant of an application for admission to listing

UKLR 20.2.5G

The FCA will admit securities to listing if all relevant documents required by UKLR 20.2.2R have been submitted to the FCA.

UKLR 20.2.6G

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;

  5. (5)

    impose any additional conditions on the applicant as the FCA considers appropriate; and

  6. (6)

    take into account any concerns the FCA may have that the applicant has not responded satisfactorily to any queries by the FCA or has not been open and cooperative in its dealings with the FCA.

UKLR 20.2.7G

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 noticeboard designated by the FCA, should the electronic systems be unavailable.