Related provisions for RCB 3.2.5

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RCB 6.1.1GRP
1This chapter contains guidance for issuers and owners and other persons subject to the RCB Regulations.
LR 16.2.1RRP
To be listed, an applicant must comply with:(1) LR 2 (Requirements for listing); and(2) only LR 6.8.1R to LR 6.8.2R3 of LR 6 (Additional requirements for premium 1listing commercial company).12
LR 17.5.1RRP
This chapter does not apply to a state, a regional or local authority and a public international body with listed debt securities except that such an issuer must comply with LR 17.3.2 R (Admission to trading).11
LR 20.1.1RRP
1This chapter applies to an issuer of miscellaneous securities.
LR 18.1.1RRP
1This chapter applies in respect of a standard listing of certificates representing certain securities and applies2 to:(1) a depositary; and(2) an issuer of the securities which are represented by certificates.
LR 20.2.1RRP
An applicant for the admission of miscellaneous securities must comply with LR 2 (Requirements for listing: All securities).
DTR 5.7.1ARRP
2Voting rights relating to financial instruments within DTR 5.3.1R(1) that have already been notified in accordance with DTR 5.1.2R must be notified again when the person has acquired the underlying shares and such acquisition results in the total number of voting rights attached to shares issued by the same issuer reaching or exceeding the thresholds laid down by DTR 5.1.2R.[Note: article 13a(2) of the TD]
LR 20.3.1RRP
An applicant for admission of miscellaneous securities must comply with:(1) LR 3.2 (Application for admission to listing); and(2) LR 3.4.4 R to LR 3.4.8 R.
LR 6.9.1RRP
1An applicant must have in place a constitution that allows it to comply with the listing rules, in particular: (1) LR 9.2.21R to vote on matters relevant to premium listing; and (2) for an applicant with a controlling shareholder, LR 9.2.2ER and LR 9.2.2FR concerning the election and re-election of independent directors.
RCB 4.1.1GRP
1This chapter contains guidance for issuers, and owners and other persons subject to the RCB Regulations.
LR 6.15.1RRP
1The FCA will not admit shares of an applicant incorporated in a third country2 that are not listed either in its country of incorporation or in the country in which a majority of its shares are held, unless the FCA is satisfied that the absence of the listing is not due to the need to protect investors. [Note: article 51 of the CARD]
DTR 1.2.4GRP

An issuer, person discharging managerial responsibilities or connected person should consult with the FCA at the earliest possible stage if they:

  1. (1)

    are in doubt about how the disclosure requirements2 apply in a particular situation.2

  2. (2)

    [deleted]2

LR 6.7.1RRP
1An applicant must satisfy the FCA that it and its subsidiary undertakings (if any) have sufficient working capital available for the group's requirements for at least the next 12 months from the date of publication of the prospectus or listing particulars for the shares that are being admitted.
LR 6.12.2GRP
1For the purposes of LR 6.12.1R, the property valuation report should be published in the applicant’s prospectus.
LR 6.8.1RRP
1The total of all issued warrants to subscribe for equity shares or options to subscribe for equity shares must not exceed 20% of the issued equity share capital (excluding treasury shares) of the applicant as at the time of issue of the warrants or options.
RCB 3.1.1GRP
1This chapter applies to issuers, asset pool monitors2 and owners.
DTR 5.9.1RRP
(1) A person making a notification to an issuer to which this chapter applies must, if the notification relates to shares admitted to trading on a regulated market, at the same time file a copy of such notification with the FCA.(2) The information to be filed with the FCA must include a contact address of the person making the notification (but such details must be in a separate annex and not included on the form which is sent to the issuer).[Note: article 19(3) of the TD]
LR 11.1.4ARRP
5In LR, a "substantial shareholder” means any person who is entitled to exercise, or to control the exercise of, 10% or more of the votes able to be cast on all or substantially all matters at general meetings of the company (or of any company which is its subsidiary undertaking or parent undertaking or of a fellow subsidiary undertaking of its parent undertaking). For the purposes of calculating voting rights, the following voting rights are to be disregarded:(1) any voting
LR 11.1.6RRP
LR 11.1.7 R to LR 11.1.10 R do not apply to a related party transaction if it is a transaction or arrangement:(1) of a kind referred to in paragraph 1 or 1A4 of LR 11 Annex 1 (a small transaction or a transaction the terms of which were agreed before a person became a related party); or4(2) of a kind referred to in paragraphs 2 to 94 of LR 11 Annex 1 and does not have any unusual features.4Note: If an issuer is proposing to enter into a transaction that could be a related party
LR 9.5.2GRP
The FCA may modify LR 9.5.1R (1) to allow the placing to relate to less than 25% if it is satisfied that requiring at least 25% would be detrimental to the success of the issue.
LR 9.5.10RRP
(1) If a listed company makes an open offer, placing, vendor consideration placing, offer for subscription of equity shares or an issue out of treasury (other than in respect of an employees’ share scheme)3 of a class already listed, the price must not be at a discount of more than 10% to the middle market price of those shares at the time of announcing the terms of the offer for an open offer or offer for subscription of equity shares8 or at the time of agreeing the placing for