Content Options

Add to favourites

View Options

More Resources:

External link Handbook Publications

issuer

      1. (1) 36(except in 5 CIS , LR, PR and DTR3436)
        1. (a) (in relation to any security) (other than a unit in a collective investment scheme) the person by whom it is or is to be issued;36
        1. (b) (in relation to a unit in a collective investment scheme) the operator of the scheme; 36
        1. (c) (in relation to an interest in a limited partnership) the partnership;36
        1. (d) (in relation to certificates representing certain securities) the person who issued or is to issue the security to which the certificate or other instrument relates. 36
      1. (2) (in DTR ) any company or other legal person or undertaking (including a public sector issuer), any class of whose financial instruments:34
        1. (a) have been admitted to trading on a regulated market; or
        1. (b) are the subject of an application for admission to trading on a regulated market;
        other than issuers who have not requested or approved admission of their financial instruments to trading on a regulated market.
      1. (3) (in LR) any company or other legal person or undertaking (including a public sector issuer), any class of whose securities has been admitted to listing or is the subject of an application for admission to listing.36
      1. (4) (in PR ) (as defined in section 102A of the Act) a legal person who issues or proposes to issue the transferable securities in question.36