UKLR 1.3 Information gathering and publication

An issuer must provide to the FCA as soon as possible:

1. (1)

   any information and explanations that the FCA may reasonably require to decide whether to grant an application for admission;

2. (2)

   any information that the FCA considers appropriate to protect investors or ensure the smooth operation of the market; and

3. (3)

   any other information or explanation that the FCA may reasonably require to verify whether listing rules, disclosure requirements, transparency rules and corporate governance rules are being and have been complied with.

1. (1)

   The FCA may, at any time, require an issuer to publish such information in such form and within such time limits as it considers appropriate to protect investors or to ensure the smooth operation of the market.

2. (2)

   If an issuer fails to comply with a requirement under (1), the FCA may itself publish the information (after giving the issuer an opportunity to make representations as to why it should not be published).

An issuer must take reasonable care to ensure that any information it notifies to a RIS or makes available through the FCA is not misleading, false or deceptive and does not omit anything likely to affect the import of the information.

If an issuer is required to notify information to a RIS at a time when a RIS is not open for business, it must distribute the information as soon as possible to:

1. (1)

   not less than 2 national newspapers in the United Kingdom;

2. (2)

   2 newswire services operating in the United Kingdom; and

3. (3)

   a RIS for release as soon as it opens.

1. (1)

   An issuer must ensure that the FCA is provided, at all times, with up-to-date contact details of at least 2 of its executive directors (or, where the issuer has no executive directors, at least 2 of its directors), including their name, business telephone number and business email address. Where the issuer has only 1 executive director or has only 1 director, then the issuer must ensure the FCA is provided with the details of this director.

2. (2)

   The issuer must notify the FCA of any changes to the contact details under (1) as soon as possible.

An issuer must ensure that the FCA is provided, at all times, with up-to-date contact details of a nominated person at the issuer, including their address for the purposes of receiving service of relevant documents.

The address referred to in UKLR 1.3.7R must be:

1. (1)

   an email address where the issuer provides written consent to receive service of relevant documents by email; or

2. (2)

   a postal address in the UK where written consent to email service mentioned in (1) above is not given.

[Note: There are additional requirements to provide first point of contact details set out in UKLR 6.2.19R including as applied by UKLR 11.4.1R, UKLR 12.3.6R, UKLR 13.3.11R, UKLR 14.3.8R, UKLR 16.3.7R and UKLR 22.2.8R.]