Forms and checklists

Download UKLA forms.

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Find out how to submit documents electronically using the Electronic Submission System (ESS).

Payment

Electronic Transfer Payment Form

Electronic Payment Form (PDF)

Document review

Document items

Form A (PDF)
Publication form (DOC)
Issuer details form – for substitution of issuer requests only (DOC)
No change confirmation template letter (DOC)
Upfront submission form (DOC)
The upfront submission form is optional and only applicable to debt documents.

Listing Rules checklists
Prospectus Rules cross-reference lists

Same day service 

SDS form (DOC)

Declarations by sponsors

Sponsor's Declaration for the production of a circular form (PDF)
Sponsor's Declaration on an application for Listing form (PDF)
Sponsor's Declaration for a Transfer of Listing Category (PDF)
Sponsor’s Declaration for a Reverse Takeover Announcement (PDF)

Listing applications

Listing application forms

Application for Admission of Securities form (DOC) - this form is also to be used for programmes and amendments to the Official List
Block Listing Six Monthly Return form (DOC)
Pricing Statement form (DOC)
Shareholder Statement form (DOC)
Certifications representing equity securities in public hands statement (DOC)

Market participants – notifications to FCA

Home Member State

Transparency Directive: Home Member State Declaration (DOC)

Listed issuers

Issuer contact details form (PDF)

Notifications

 

MAR: Delayed disclosure of inside information notification form
Guide to completing the delayed disclosure of inside information form (PDF)
MAR: Persons discharging managerial responsibilities (PDMR) notification form
Guide to completing the PDMR notification form (PDF)

Standard form for notification of major holdings (TR-1) (DOC) - Mandatory from 30 June 2017
Notification by market makers (TR-2) (DOC)

Sponsor forms

Sponsors forms

Annual Notification Form (DOC)
Sponsor's Declaration for the production of a circular form (PDF)
Sponsor's Declaration on an application for Listing form (PDF)
Sponsor's Declaration for a Transfer of Listing Category (PDF)
Sponsor’s Declaration for a Reverse Takeover Announcement (PDF)
Sponsor Firms application form (DOC)

Passporting out

Passporting template request letter (DOC)
To passport a prospectus into the UK contact the EU member state authority that approved the prospectus and they will liaise with us.