WS 8 - Debt Securities (Listing)

Question 1

LR Ch 3

Answer 1

listing applications: all securities [Lr 3.1.1 - this chapter applies to an applicant for the admission of securities]

Question 2

Where is the Official List located?

Answer 2

LR 3.2.1 - The FCA will maintain the official list on its website.

Question 3

LR 3.2.5

Answer 3

The FCA will admit securities to listing if all relevant documents required by LR 3.2.2 R have been submitted to the FCA.

Question 4

LR 3.2.6

Answer 4

What the FCA can do when considering an application for admission to listing.

Question 5

LR 3.2.7

Answer 5

Admission becomes effective only when the FCA’s decision to admit the securities to listing has been announced by being either:

(1) Disseminated by a RIS; or
(2) Posted on a notice board designated by the FCA should the electronic systems be unavailable.

Question 6

LR Ch 4

Answer 6

Listing particulars for professional securities market and certain other securities: All securities

Question 7

LR 4.1.2

Answer 7

The purpose of this chapter is to require listing particulars to be prepared and published for securities that are the subject of an application for listen in the circumstances set out in LR 4.1.1 where a prospectus is not required under the PD.