Forms and checklists

First published: Last updated: 25/03/2024 See all updates

Download Listing Transactions and Primary Market Oversight and how to make payments forms.

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For review under the Prospectus Regulation:

Find forms for:

  • Payment
  • Document review
  • Issuer management
  • Market participants – notifications to FCA
  • Sponsor forms

Find out how to submit documents electronically using the Electronic Submission System (ESS).

Payment

Electronic Transfer Payment Form

Electronic Payment Form (PDF)

Document review

Document items

Form A (DOC) / No change confirmation template letter (DOC)

Upfront submission form (DOC)
The upfront submission form is optional and only applicable to debt documents.
Listing Rules checklists
Prospectus Regulation Rules cross-reference lists

Same day service 

SDS form (DOC) *new*

Declarations by sponsors

Sponsor's Declaration for the production of a circular form (PDF)
Sponsor's Declaration on an application for Listing form (PDF)
Sponsor's Declaration for a Transfer of Listing Category (PDF)
Sponsor’s Declaration for a Reverse Takeover Announcement (PDF)
Listing Transactions – Russia and Belarus sanctions confirmation Confirmations we need about the effect of sanctions.

Issuer management 

Issuer management forms

Application for Admission of Securities form (DOC) - Note that this form is not required when you submit applications via the ESS portal
Block Listing Six Monthly Return form (DOC)
Pricing Statement form (DOC)
Shareholder Statement form (DOC)
Certifications representing equity securities in public hands statement (DOC)
Listing Transactions – Russia and Belarus sanctions confirmation Information for issuers.

Market participants – notifications to FCA

Home Member State

Transparency Directive: Home Member State Declaration (DOC)

Listed issuers

Issuer contact details form (PDF)
Notifications

 

MAR: Delayed disclosure of inside information notification form
Guide to completing the delayed disclosure of inside information form (PDF)
MAR: Persons discharging managerial responsibilities (PDMR) notification form
Guide to completing the PDMR notification form (PDF)

Standard form for notification of major holdings (TR-1) (DOC)
Notification by market makers (TR-2) (DOC)

Sponsor forms

Sponsors forms

Annual Notification Transaction log (XLSX)
Annual Notification Form (DOC)
Sponsor Contacts for Corporate Broking Clients (XLSX)
Sponsor's Declaration for the production of a circular form (PDF)
Sponsor's Declaration on an application for Listing form (PDF)
Sponsor's Declaration for a Transfer of Listing Category (PDF)
Sponsor’s Declaration for a Reverse Takeover Announcement (PDF)
Sponsor Firms application form (DOC)

Passporting out

Passporting template request letter (DOC)
To passport a prospectus into the UK contact the EU member state authority that approved the prospectus and they will liaise with us.

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Primary Markets

Page updates

: Information changed Added 'primary markets' category tag to metadata
: Editorial amendment Page layout updated.
: Information changed Sponsors forms updated
: Information added Annual Notification Transaction log
: Link changed Link to Annual Notification Form (DOC) updated
: Link changed Removed link to a passporting page that is no longer published
: Document added Publication Form

In this section

How to complete checklists and cross-reference lists
Listing Rules checklists
Prospectus Regulation Rules Cross Reference lists