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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
    2. (b) (in relation to a unit in a collective investment scheme) the operator of the scheme; 36
    3. (c) (in relation to an interest in a limited partnership) the partnership;36
    4. (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 and FEES in relation to DTR40) 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
    2. (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 and FEES in relation to LR40) 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 and FEES in relation to PR40) (as defined in section 102A of the Act) a legal person who issues or proposes to issue the transferable securities in question.36