issuer

(1) (except as otherwise provided for below):
1. (a) (in relation to any security) (other than a unit in a collective investment scheme) the person by whom it is or is to be issued;
2. (b) (in relation to a unit in a collective investment scheme) the operator of the scheme;
3. (c) (in relation to an interest in a limited partnership except for a limited partnership scheme ) the partnership;
4. (d) (in relation to certificates representing certain securities) the person who issued or is to issue the security to which the certificate or other instrument relates; or
5. (e) an entity which issues transferable securities and, where appropriate, other financial instruments.
(2) (in MAR 1, chapters 1, 2 and 3 of DTR and FEES in relation to DTR )
as defined in article 3(1)(21) of the Market Abuse Regulation.
(2A) (in chapters 1A, 1B, 4, 6 and 7 of DTR) a person, including a State, whose securities are admitted to trading on a regulated market; in the case of depository receipts admitted to trading on a regulated market, the issuer means the issuer of the securities represented by the depositary receipt, whether or not those securities are admitted to trading on a regulated market.
(2B) (in chapter 5 of DTR):
1. (a) a person, including a State whose shares are admitted to trading on a regulated market; in the case of depository receipts admitted to trading on a regulated market, the issuer means the issuer of the securities represented by the depositary receipt, whether or not those securities are admitted to trading on a regulated market; or
2. (b) a public company within the meaning of section 4(2) of the Companies Act 2006 and any other body corporate incorporated in and having a principal place of business in the United Kingdom, whose shares are admitted to trading on a market which (not being a regulated market) is a prescribed market.
(3) (in UKLR, FEES in relation to UKLR COBS 10A and for the purposes of the definitions of plain vanilla listed bond, ESCC issuer and ESCC subsidiary) any company or other legal person or undertaking (including a public sector issuer), any class of whose securities has been admitted to listing or is the subject of an application for admission to listing.

(4) (in PRM, COBS 23 and MAR 5-A and FEES in relation to PRM) has the meaning in regulation 3 of the Public Offers and Admissions to Trading Regulations – in summary, in relation to:

(a) an offer of relevant securities to the public; or
(b) the admission to trading, or proposed admission to trading, of transferable securities on a regulated market or primary MTF,
means the person who is issuing, proposes to issue or has issued the securities in question.
(5) (in RCB and FEES 1 to FEES 4, where applicable) (as defined in Regulation 1(2) of the RCB Regulations) a person which issues a covered bond.
(6) (in FUND) means an issuer within the meaning of article 2(1)(d) of the Transparency Directive where that issuer has its registered office in the EEA and where its shares are admitted to trading on a regulated market.