Find out how to book a listing hearing, submit a listing application or cancel securities from the Official List.
New online portal for submissions
In the coming months we will introduce an online portal for submitting applications, requests and supporting documentation to our Issuer Management team.
This is the latest in a number of enhancements we are making to our systems and follows on from our introduction of a submission portal for investor documents and prospectuses in September 2017.
The portal will include:
- - authenticated (via registration) online form(s)
- - the ability to upload supporting documentation
- - the ability to download and print submissions at certain stages
- - the ability for advisors to confirm approval by issuers (ie removing the need for physical user sign-off)
- - restricted access within the submitter’s company to authenticated individuals
We will provide more detailed information on the changes before the system goes live.
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 a listing hearing, email us at [email protected] stating the issuer name, type of application and hearing date. Please ensure you submit the relevant documents in final form 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.
Submitting your application form
After booking a listing hearing, you should submit the following items by email, post or fax:
- the admission of securities form
- the required application documents (see table below)
- any other such information that the UKLA may require under to LR 3.2.2 (2)
The information you include in the form will depend on the securities being listed. 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.
We need to receive the following application documents by 12pm (midday), two business days before your desired hearing date:
|Type of application||
Debt and other securities
Block listing and formal application
Cancelling securities from the Official List
To cancel a listing, issuers should review chapter 5 of the listing rules in the FCA Handbook, which sets out the cancellation 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.
Cancellations requests can be sent to [email protected].
Securities which have matured or otherwise ceased to exist
If you wish to notify us of a security on the Official List that no longer exists, please send an email to [email protected] confirming the following details:
- the issuer name
- the relating ISIN
- that the security has ceased to exist
- you have no objection to us removing the security
If securities have matured, or ceased to exist, we can use our powers to administratively remove any references of the securities from the Official List.
If you have any further questions regarding chapter 5 of the Listing rules, you can contact the Issuer Management team on 020 7066 8352.