Listing Rules checklists

The checklists are for issuers to show the FCA how they have complied with the applicable disclosure requirements when submitting documents for FCA approval under the Listing Rules. Use them to confirm and explain compliance with the Listing Rules’ eligibility requirements for admission of securities to the Official List.

If you need help see our instructions.

Make sure you use the latest version of the checklists as we do update them.

Find checklists for:

Eligibility for admission to the Official List under the Listing Rules

Circulars (premium listed issuers)

Listing particulars (debt securities)

Eligibility for admission to the Official List under the Listing Rules

For issuers applying to admit securities to a listing segment of the Official List in which that class of security is not already listed.  This applies to new applicant issuers seeking admission of securities to the Official List,issuers seeking to transfer securities between listing categories of the Official List, or  issuers with existing listings , looking to admit a new line of securities to the Official List.  New applicant issuers may also be required to submit an eligibility letter under LR8.4.3 (premium listing of equity shares) or LR18.3.1A (standard listing of certificates representing securities, or GDRs).

Listing rules

Checklist description

Date

LR2 and LR6

Premium Listing - Commercial Companies

May 2014

LR2 and LR6

Premium Listing - Mineral Companies

May 2014

LR2 and LR6

Premium Listing - Scientific Research Based Company

May 2014

LR2 and LR15

Premium Listing - Closed Ended Investment Funds

May 2014

LR2 and LR16

Premium Listing - Open Ended Investment Companies

Feb 2014

LR2 and LR14

Standard Listing - Shares

Feb 2014

LR2 and LR17

Standard Listing - Debt and Debt-like Securities

Feb 2014

LR2 and LR18

Standard Listing - Depository Receipts

Feb 2014

LR2 and LR19

Standard Listing - Securitised Derivatives

Feb 2014

LR2 and LR20

Standard Listing - Miscellaneous Securities

Feb 2014

Circulars (premium listed issuers)

For issuers with securities admitted to the Official List preparing a circular under the Listing Rules for approval by the FCA.

Listing rules

Checklist description

Date

LR13.3.1

Contents of all Circulars

Feb 2014

 

Additional information required by other rules:

 

LR13.3.3

Pro forma financial information in certain circulars – please use the Prospectus Rules Annex II cross reference lists

 

LR13.4

Class 1 Circular - Disposal

Feb 2014

LR13.4

Class 1 Circular – Acquisition

Feb 2014

LR13.6

Related Party Circular

Feb 2014

LR13.7

Purchase of Own Equity Securities

Feb 2014

LR13.8.1

Authority to Allot Shares

Feb 2014

LR13.8.2

Disapplying Pre-Emption Rights

Feb 2014

LR13.8.4

Reduction of Capital

Feb 2014

LR13.8.5

Capitalisation or Bonus Issue

Feb 2014

LR13.8.6

Scrip Dividend Alternative

Feb 2014

LR13.8.7

Scrip Dividend Mandate/Dividend Reinvestment Plan

Feb 2014

LR13.8.10

Amendments to Constitution

Feb 2014

LR13.8.11 – 13.8.13

Employees' Share Scheme or Long Term Incentive Scheme

Feb 2014

LR13.8.14

Amendments to Employees' Share Scheme or Long Term Incentive Scheme

Feb 2014

LR13.8.15

Discounted Option Arrangements

Feb 2014

LR13.8.16

Reminder of Conversion Rights

Feb 2014

LR13.8.17

Election of Independent Directors

May 2014

Listing particulars (debt securities)

For issuers seeking FCA approval of listing particulars to be prepared and published for securities that are the subject of an application for listing where a prospectus is not required.

Listing rules

Checklist description

LR4.2

Please use the relevant Prospectus Rules cross-reference lists