Related provisions for DTR 5.5.1A
1 - 12 of 12 items.
An issuer whose registered office is in a third country4 is exempted from DTR 6.1.3 R to DTR 6.1.15 R if:33(1) the law of the third country4 in question lays down equivalent requirements; or3(2) the issuer complies with requirements of the law of a third country4 that the FCA considers as equivalent.3[Note: article 23(1) of the TD]3
The FCA maintains a published list of third countries4, for the purpose of DTR 6.1.16R4, whose laws3 lay down requirements equivalent to those imposed upon issuers by this chapter, or where the requirements of the law of that third country4 are considered to be equivalent by the FCA3. Such issuers remain subject to the following requirements of DTR 6:3(1) the filing of information with the FCA;(2) the language provisions; and(3) the dissemination of information provisions.
An issuer whose registered office is in a third country3 will be treated as meeting equivalent requirements to those set out in DTR 5.8.12 R (2) (issuer to make public notifications of major shareholdings by close of third day following receipt) provided that the period of time within which the notification of the major holdings is to be effected to the issuer and is to be made public by the issuer is in total equal to or shorter than seven trading days.[Note: article 19 of the
An issuer whose registered office is in a third country3 will be treated as meeting equivalent requirements in respect of treasury shares to those set out in DTR 5.5.1 R provided that:(1) if the issuer is only allowed to hold up a maximum of 5% of its own shares to which voting rights are attached, a notification requirement is triggered under the law of the third country3 whenever this the maximum threshold of 5% of the voting rights is reached or crossed;(2) if the issuer is
An issuer whose registered office is in a third country3 will be treated as meeting equivalent requirements to those set out in DTR 5.6.1 R (Disclosure by issuers of total voting rights) provided that the issuer is required under the law of the third country3 to disclose to the public the total number of voting rights and capital within 30 calendar days after an increase or decrease of such total number has occurred.[Note: article 21 of the TD implementing Directive]
An issuer whose registered office is in a third country3 is exempted from DTR 5.5.1R, DTR 5.6.1R and DTR 5.8.12R(2) if:22(1) the law of the third country3 in question lays down equivalent requirements; or2(2) the issuer complies with requirements of the law of a third country3 that the FCA considers as equivalent.2[Note: article 23(1) of the TD]2
The FCA maintains a published list of third country3, for the purpose of DTR 5.11.4R3, whose laws2 lay down requirements equivalent to those imposed upon issuers by this chapter, or where the requirements of the law of that third country3 are considered to be equivalent by the FCA2. Such issuers remain subject to the following requirements of DTR 6:2(1) the filing of information with the FCA;(2) the language provisions; and(3) the dissemination of information provisions.
(1) The6 financial statements must be audited in accordance with Part 16 of the Companies Act 20066.(2) [deleted]6(3) The audit report, signed by the person or persons responsible for auditing the financial statements must be disclosed in full to the public together with the annual financial report.[Note: article 4(4) of the TD](4) An issuer which is a UK-traded third country company6 within the meaning of section 1241 of the Companies Act 2006 must ensure that the person who
4An issuer whose registered office is in a third country6 is exempted from the rules on:5(1) annual financial reports in DTR 4.1 (other than DTR 4.1.7R (4) which continues to apply); (2) half-yearly financial reports (DTR 4.2); and(3) reports on payments to governments (DTR 4.3A);5if the law of the third country6 in question lays down equivalent requirements or the issuer complies with requirements of the law of a third country6 that the FCA considers as equivalent.5[Note: article
The FCA maintains a published list of third countries6,5 for the purpose of DTR 4.4.8R6, whose laws5 lay down requirements equivalent to those imposed upon issuers by this chapter, or where the requirements of the law of that third country6 are considered to be equivalent by the FCA5.Such issuers remain subject to the following requirements of DTR 6:(1) the filing of information with the FCA;(2) the language provisions; and(3) the dissemination of information provisions.
(1) 7A UCITS scheme may invest in an approved money-market instrument if it is:(a) issued or guaranteed by any one of the following:(i) a central authority of the United Kingdom or25 an EEA State or, if the EEA State is a federal state, one of the members making up the federation;(ii) a regional or local authority of the United Kingdom or25 an EEA State;(iii) the Bank of England,25 the European Central Bank or a central bank of an EEA State;(iv) the European Union or the European
A10person must notify the issuer of the percentage of its voting rights he holds as shareholder or holds or is deemed to hold 5through his direct or indirect holding of financial instruments10 falling within 2DTR 5.3.1R (1)10 (or a combination of such holdings) if the percentage of those voting rights2:2258(1) reaches, exceeds or falls below 3%, 4%, 5%, 6%, 7%, 8%, 9%, 10% and each 1% threshold thereafter up to 100% (or in the case of a non-UK issuer on the basis of thresholds
(1) An issuer not falling within (2) must, in relation to shares admitted to trading on a regulated market, on receipt of a notification as soon as possible and in any event by not later than the end of the trading day following receipt of the notification make public all of the information contained in the notification.(2) A non-UK issuer and any other issuers whose shares are admitted to trading on a prescribed (but not a regulated) market must, on receipt of a notification,
Some of the distinguishing features of notices given under enactments other than the Act are as follows: (1) [deleted]66(2) [deleted]66(3) Friendly Societies Act 1992, section 58A1: The warning notice and decision notice must set out the terms of the direction which the FCA6 proposes or has decided to give and any specification of when the friendly society is to comply with it. A decision notice given under section 58A(3) must give an indication of the society's right, given by