Instructions to help issuers, sponsors and advisers fill out checklists or cross-reference lists.
These lists show us how issuers, sponsors and advisers have complied with the applicable disclosure requirements.
When completing checklists or cross-reference lists, issuers, sponsors or advisers must do three things:
- Provide information on the:
- name of the company
- nature of the transaction
- name of the sponsor/adviser and
- date the checklist or cross-reference list is submitted.
- Complete the checklist or cross-reference list box using the instructions below.
- Add brief comments, if appropriate (see below for further details).
We sometimes update the checklists and cross-reference lists so please make sure you are using the latest version.
When to submit the UK Listing Rules checklists or Prospectus Rules: Admission to Trading on a Regulated Market (PRM) cross-reference lists
- We will only accept documents for review if all relevant checklists or cross-reference lists are submitted with page numbers accurately recorded. This is essential for an efficient review process.
- Submit updated checklists with each draft of a circular. Only amend page references when text has been changed to comply with a Listing Rule and note the draft number in the comments box.
- For final circular approval, we require a final signed copy of the checklists. The signatory must be properly authorised to sign on behalf of the issuer or, where UKLR 4.2.1R applies, the sponsor.
- Please accurately record page numbers on the comment sheet if you revise and address.
- To admit securities to a listing category in which that class of security is not already listed, you must submit an eligibility checklist. This applies to new applicant issuers seeking admission of securities to the Official List, an issuer seeking to transfer securities between listing categories of the Official List, or an issuer with an existing listing looking to admit a new class of securities to the Official List.
Sponsors and advisers do not need to provide a separate letter stating that items are non-applicable under UKLR 10.2.2R(2) at the time of document approval. Instead, state they are non-applicable at the bottom of the signed checklist.
Completing the UK Listing Rules checklist or PRM cross-reference list
When completing the checklist or cross-reference list, please only use these options:
| Option | When to use it |
|---|---|
| Page reference | This page reference should correspond with the notes on the document. |
| N/A | If an item is either non-applicable, or there is no information to be disclosed within the document at this point. |
| Variation | If a derogation is sought for an item. |
| N/R | If an item is not relevant. |
| Omission | If you want to omit an item. |
Adding comments
To keep checklists and cross-reference lists as short as possible, there is only a small amount of space for comments.
If you need more space, submit a separate document via the Electronic Submission System (ESS)[1], cross-referencing all comments to the appropriate rule.
If an eligibility rule is not directly satisfied by disclosure in accompanying documents, please provide confirmation that it has been met in the relevant eligibility checklist.
