Find out how to book a listing hearing, submit a listing application or cancel securities from the Official List.
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Prospectus Regulation Rules sourcebook
From 21 July 2019, issuers and their advisors should update references to the new Prospectus Regulation Rules where required – for example, referencing the right exemptions when applying for admission to the Official List.
Online portal for submissions
We introduced an online portal in September 2018 which is our preferred method for submitting applications, requests and supporting documentation to our Issuer Management team.
We have a published user guide which explains how to use the portal.
If you have any questions please contact the Issuer Management team.
Before you (as an issuer or its adviser) submit a listing application to us, you need to book a listing hearing.
A listing hearing is a review of the documents supporting your application for listing. You do not have to attend the listing hearing. The listing hearing needs to be held before admission. You should book it to take place at least 48 hours after we formally approve any related prospectus or circular.
To book and submit documents for the requested listing hearing please log on to the Electronic Submission System (ESS). View the ESS User Guide.
All documents must be in final form and submitted two business days before the hearing.
To change the hearing date for an application, please contact us by email, specifying the issuer name, type of issue, the details of the original hearing and the requested new date. If all the issue details remain compliant with our listing rules, you do not need to resubmit them.
You will also need to read chapter 3 of the listing rules, which sets out our listing application requirements for admission of securities to listing.
No conditional admission
All outstanding conditions must be fulfilled by 4pm the business day prior to the admission is due to become effective. The FCA is not able to make the admission of securities conditional on any event. The FCA may, in particular cases, seek confirmation from an issuer before the admission of securities that the admission does not purport to be conditional on any matter, LR2.1.5.
Listing Transactions – Russia and Belarus sanctions confirmation
Issuers must confirm to us that they are not affected by the following sanctions. Find out what confirmations we need about the effect of sanctions before we can begin work on a vetting, guidance or listing application request.
Withdrawing an application
If an issuer wishes to withdraw its application, you must inform Issuer Management as soon as possible, and no later than 7am the morning of the admission is to take effect, by email using [email protected]. Details to be provided in the email are the ESS case number of the application which is being withdrawn, confirmation you have the authority from the issuer to withdraw the application, and confirmation that the relevant trading venues have been notified. If any of the above information is incomplete or not provided, we will not be able to process the withdrawal and the admission of securities to the Official List will proceed.
Once the case has been withdrawn, we will confirm by return of email. You should contact us if you have not received a reply by 7.30am the day of the admission via the emergency suspension line on 0207 066 8354 during the hours of 7am to 8am and then the Issuer Management helpline on 020 7066 8352 thereafter until 5pm.
Suspending securities from the Official List
To suspend a listing of securities, Issuers should review Chapter 5 of the Listing Rules in the FCA Handbook, in particular LR5.1 which sets out the requirements and examples of when we may suspend.
An Issuer must comply with LR5.3 when submitting a request to suspend the listing of its securities and should be made as soon as practicable but should also allow sufficient time for us to deal with the request.
For routine suspensions, these requests must be made using ESS. ESS should not be used for non-routine suspensions, such as but not limited to, reverse transactions and issuers in severe financial difficulty. In these circumstances, please contact the Primary Market Monitoring (PMM) emergency line on 020 7066 8354 or email [email protected], PMM aim to provide coverage on the emergency helpline where reasonable outside office hours. Should you experience any problems contacting this line before 8am, please contact: 0207 066 1654.
Removing securities from the Official List
To remove a listing, issuers should review chapter 5 of the listing rules in the FCA Handbook, which sets out the removal requirements for securities admitted to the Official List.
Requests under LR 5.3.1(R) should be made no less than 24 hours before the cancellation is expected to take effect. Issuers must ensure that all accompanying information has been provided to listing applications by 3pm on the business day before it takes effect.
If the information is received after that time, it will not take effect until the beginning of the next business day.
Removal requests can be submitted using ESS.
Securities which have matured or otherwise ceased to exist
If securities have matured, or ceased to exist, we will use our powers to administratively remove any references to the securities from the Official List.
For debt securities, we generally work on the basis that debt securities will have fully matured (and ceased to exist) following their redemption date, unless we are notified otherwise. The redemption date is when we were notified in a listing application and it was included in the Official List.
Issuers should keep us informed of any potential changes to the maturity date of listed securities to ensure the Official List remains accurate.
If you wish to notify us of a security on the Official List that no longer exists, please use ESS to submit this notification.
If you have any further questions regarding chapter 5 of the Listing rules, you can contact the Issuer Management team on 020 7066 8352.