DP15/1: UK Listing Authority fees: covering the cost of regulation

Published: 20/02/2015     Last Modified: 30/08/2015

As the UK Listing Authority (UKLA), we oversee the listing, transparency and prospectus regimes. In particular, we maintain the Official List of securities and enforces compliance with the Disclosure and Transparency Rules (DTR), the Prospectus Rules and the Listing Rules.

Why are we seeking views on this?

This paper sets out some options for discussion on how we should recover the costs we incur when carrying out our duties. We expect to consult on proposals in October 2015, for implementation from 1 April 2016.

DP15/1: UK Listing Authority fees

Who does this discussion paper affect?

This affects any:

  • company that has its securities listed on the Official List or who may apply for listing of securities in the future
  • person who is required to publish an approved prospectus or who may be required to do so in the future
  • company that has been approved by the FCA to act as a sponsor advising premium listed companies on their obligations under the listing regime, or that might seek approval in the future
  • primary information provider (PIP) that distributes regulated information on behalf of issuers, or might consider doing so in the future
  • person or company who is considering, or may in the future consider, undertaking or advising on transactions or documents that require UKLA approval

What are the next steps?

Please send us your views by 20 April 2015, using the online response form, or by writing to us at the address or email on page 2.

We intend to set out proposals in our paper on fees that we will publish in October 2015 as part of our normal fees consultation cycle, so that we can introduce any revised charging structure from 1 April 2016.

Want to find out more?

For more information:

 

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