UKLR 2.1 Application and purpose

This chapter is also relevant to applicants in relation to the confirmation in respect of procedures, systems and controls required by UKLR 20.3.1R.

[Note: The Procedures, Systems and Controls Confirmation Form can be found on the Primary Markets section of the FCA’s website.]

The purpose of the Listing Principles is to ensure that listed companies pay due regard to the fundamental role they play in maintaining market confidence and ensuring fair and orderly markets.

The Listing Principles are designed to assist listed companies in identifying their obligations and responsibilities under the listing rules, disclosure requirements, transparency rules and corporate governance rules. The Listing Principles should be interpreted together with relevant rules and guidance which underpin the Listing Principles.

DEPP 6 (Penalties) sets out guidance on the consequences of breaching a Listing Principle.