PRM 4.3 Minimum information to be included in the securities note

Subject to PRM 4.3.2R, for equity securities or units issued by collective investment undertakings of the closed-end type, the securities note must contain the information referred to in PRM App 2 Annex 8 , unless it is drawn up in accordance with PRM 7 (Simplified disclosure regime for secondary issuances).

A securities note for the securities referred to in PRM 4.4.5R(1) and (2) and PRM 4.4.7R(1) and (2), where those transferable securities are not shares or other transferable securities equivalent to shares, must be drawn up in accordance with PRM 4.3.6R (PRM App 2 Annex 11 ). 

Subject to PRM 4.3.4R, a simplified securities note for secondary issuances of equity securities or units issued by collective investment undertakings of the closed-end type drawn up in accordance with PRM 7 (Simplified disclosure regime for secondary issuances) must contain the information referred to in PRM App 2 Annex 9.

A securities note for the securities referred to in PRM 4.4.5R(1) and (2) and PRM 4.4.7R(1) and(2), where those transferable securities are not shares or other transferable securities equivalent to shares, drawn up in accordance with PRM 7 (Simplified disclosure regime for secondary issuances) must contain the information referred to in PRM App 2 Annex 11 .

For depositary receipts issued over shares, the securities note must contain the information referred to in PRM App 2 Annex 10.

A securities note for non-equity securities must contain the information referred to in PRM App 2 Annex 11.