GC14/5 Primary Market Bulletin No. 8

This proposed guidance relates to the Listing Rules, Prospectus Rules and Disclosure and Transparency Rules (LR, PR and DTR).

This guidance is likely to be of most relevance to issuers of transferable securities (companies/entities) and their advisers (sponsor firms, advisory firms and law firms), investors and other persons who interact with the UK Listing Authority (UKLA).

Background to this consultation

The Knowledge Base is the UKLA’s repository of non-handbook technical commentary that has the status of formal FCA guidance.  It consists of a series of short technical and procedural notes (Notes) published in PDF form and arranged by topic.

We published Primary Market Bulletin (PMB) No. 8 to provide background to the proposed amendments to the Knowledge Base.

Summary of the key issues

We are proposing to amend the Knowledge Base as follows:

1. Add six new Notes

2. Amend nine existing Notes

3. Delete one existing Note:

  • Sponsors: Creation and maintenance of records (UKLA/TN/703.1)

Subject to the outcome of the consultation, we intend to publish the new and amended Notes on the Knowledge Base.

Cost benefit analysis

CBA is not included in this consultation.  

We invite your views on

Do you have any comments on the Notes we wish to add to the Knowledge Base?

Please respond by 1 October 2014.

Please email your responses to:

[email protected]

Alternatively, please send your responses by post or telephone us:

Victoria Spencer
UKLA Department
Financial Conduct Authority
25 The North Colonnade
London E14 5HS
Telephone: 020 7066 8268