This proposed guidance relates to the Listing Rules, Prospectus Rules and Disclosure and Transparency Rules.
This guidance is likely to be of most relevance issuers of transferable securities (companies/entities) and their advisors (sponsor firms, advisory firms and law firms), investors and other persons who interact with the UKLA.
Background to this consultation
The Knowledge Base[1] 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. 6[2] 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:
- Adding one new Note:
UKLA/TN/209.1 – Dealing with the FCA in an open and co-operative manner[3] - Revising one existing Note:
UKLA/TN/306.2 – Reverse takeovers[4]
Cost benefit analysis
A CBA is not included in this consultation.
We invite your views
Do you have any comments on the Notes we wish to add to the Knowledge Base?
Please respond by 10 September 2013
Please email your responses to:
Or send your responses to:
Hanna Teshome
UKLA Department
The Financial Conduct Authority
25 The North Colonnade
London E14 5HS
Telephone: 020 7066 8210