PRM 4.2 Minimum information to be included in a registration document

Subject to PRM 4.2.2R, the registration document for equity securities must contain the information referred to in PRM App 2 Annex 1 , unless it is drawn up in accordance with:

(1) PRM 2.6 (Universal registration document); or

(2) PRM 7(Simplified disclosure regime for secondary issuances).

The registration document for the transferable securities listed in (1), (2) or (3), where those transferable securities are not shares or other transferable securities equivalent to shares, may be drawn up in accordance with PRM 4.2.8R: 

(1) the transferable securities referred to in PRM 4.4.5R(1) and PRM 4.4.7R(1);

(2) the transferable securities referred to in PRM 4.4.5R(2), where those transferable securities are exchangeable for or convertible into shares that are or will be issued by the issuer or an entity belonging to the issuer's group and that are not admitted to trading; or

(3) the transferable securities referred to in PRM 4.4.7R(2), where those transferable securities give the right to buy or subscribe for shares that are or will be issued by an entity belonging to the issuer's group and that are not admitted to trading.

A registration document that is drawn up in accordance with PRM 2.6 (Universal registration document) must contain the information referred to in PRM App 2 Annex 2 .

Subject to PRM 4.2.5R, a simplified registration document for equity securities that is drawn up in accordance with PRM 7 (Simplified disclosure regime for secondary issuances) must contain the information referred to in PRM App 2 Annex 3 .

The registration document for the transferable securities listed in (1), (2) or (3), where those transferable securities are not shares or other transferable securities equivalent to shares, may be drawn up in accordance with PRM App 2 Annex 6 , unless it contains the information referred to in PRM App 2 Annex 3:

(1) the transferable securities referred to in PRM 4.4.5R(1) and PRM 4.4.7R(1);

(2) the transferable securities referred to in PRM 4.4.5R(2), where those transferable securities are exchangeable for or convertible into shares that are or will be issued by an entity belonging to the issuer's group and that are not admitted to trading; or 

(3) the transferable securities referred to in PRM 4.4.7R(2), where those transferable securities give the right to buy or subscribe for shares that are or will be issued by an entity belonging to the issuer's group and that are not admitted to trading.

For units of closed-end collective investment undertakings, the registration document must contain the information referred to in PRM App 2 Annex 4.

For depositary receipts issued over shares, the registration document must contain the information referred to in PRM App 2 Annex 5 .

For non-equity securities other than asset backed securities, the registration document must contain the information referred to in PRM App 2 Annex 6 , unless (1) or (2) apply:

(1) it is drawn up in accordance with PRM 2.6(Universal registration document); or

(2) it contains the information in PRM App 2 Annex 1 .

A registration document for asset backed securities must contain the information referred to in PRM App 2 Annex 7 .