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First Supervisory Notice 2021: Action On CIO [pdf]
For the reasons given in this First Supervisory Notice, and pursuant to section 55J of the Act, the Authority has decided to vary the Part 4A permission of Action On CIO -
Final Notice 2021: Michael Milner (trading as Snap-On) [pdf]
This final notice refers to a failure to satisfy the suitability threshold condition (COND) and to be open and co-operative with the Authority (PRIN 11) in the Consumer Credit sector. We imposed a cancellation. -
Primary Market Technical Note 607.1 (consultation version): Global Depositary Receipts (GDRs) [pdf]
The information in this note is designed to help issuers and practitioners interpret our Listing Rules, Prospectus Regulation Rules, Disclosure Guidance and Transparency Rules, and related legislation. The guidance notes provide answers to the most -
Primary Market Technical Note 623.2: Documents available for inspection [pdf]
The information in this note is designed to help issuers and practitioners interpret our Listing Rules, Prospectus Regulation Rules, Disclosure Guidance and Transparency Rules, and related legislation. The guidance notes provide answers to the most -
Primary Market Technical Note 619.1 (consultation version): Guidelines on disclosure requirements under the Prospectus Regulation and Guidance on specialist issuers [pdf]
Primary Market Technical Note 619.1: Guidelines on disclosure requirements under the Prospectus Regulation and Guidance on specialist issuers -
Primary Market Technical Note 637.1 (consultation version): Level of disclosure for securities subject to conversion or write-down powers [pdf]
Primary Market Technical Note 637.1: Level of disclosure for securities subject to conversion or write-down powers -
Primary Market Technical Note 636.1 (consultation version): Order of information in the prospectus [pdf]
Primary Market Technical Note 636.1: Order of information in the prospectus -
CP21/19: Proposed decision under Article 23D BMR for 6 sterling and yen LIBOR settings [pdf]
We are seeking views on our proposed decision to use our Article 23D(2) powers under the Benchmarks Regulation to require the administrator of LIBOR, ICE Benchmark Administration, to change the way 1-month, 3-month and 6-month sterling and Japanese -
Primary Market Technical Note 627.2: Prospectus content – Financial information [pdf]
Primary Market Technical Note 627.2: Prospectus content – Financial information -
Primary Market Technical Note 601.2: Public offers (Amendment) [pdf]
The information in this note is designed to help issuers and practitioners interpret our Listing Rules, Prospectus Regulation Rules, Disclosure Guidance and Transparency Rules, and related legislation. The guidance notes provide answers to the most