DTR 1
Introduction
DTR 1.1
Application and purpose
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DTR 1.1.1
See Notes
The disclosure rules apply as follows:
- (1) DTR 1 and DTR 2 apply to an issuer whose financial instruments are admitted to trading on a regulated market in the United Kingdom or for which a request for admission to trading on a regulated market in the United Kingdom has been made;
- (2) DTR 3 applies to an issuer that is incorporated in the United Kingdom:
- (a) whose financial instruments are admitted to trading on a regulated market; or
- (b) for whose financial instruments a request for admission to trading on a regulated market in the United Kingdom has been made;
- (3) the following apply to person discharging managerial responsibility, including directors, and connected persons:
- (a) DTR 1.1 and DTR 1.2;
- (b) DTR 1.3.1 R - DTR 1.3.2 G and DTR 1.3.8 R;
- (c) DTR 1.4;
- (d) DTR 1.5.3 G; and
- (e) DTR 3; and
- (4) DTR 3 applies to a non-EEA state issuer which is required to file, with the FSA, annual information in relation to shares in accordance with Article 10 of the Prospectus Directive.
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Purpose
DTR 1.1.2
See Notes
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FSA performing functions as competent authority
DTR 1.1.3
See Notes
Other relevant parts of Handbook
Note: Other parts of the Handbook that may also be relevant to persons to whom the disclosure rules apply include DEC (the Decision making manual), Chapter 9 of SUP (the Supervision manual) and Chapter 21 of ENF (the Enforcement manual).
Note: A list of regulated markets can be found on the FSA website at the following address: www.fsa.gov.uk/register/exchanges.do
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DTR 1.2
Modifying rules and consulting the FSA
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Modifying or dispensing with rules
DTR 1.2.1
See Notes
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DTR 1.2.2
See Notes
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DTR 1.2.3
See Notes
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Early consultation with FSA
DTR 1.2.4
See Notes
Address for correspondence
Note: The FSA's address for correspondence in relation to the disclosure rules is:
Company Monitoring Team |
Markets Division |
The Financial Services Authority |
25 The North Colonnade |
Canary Wharf |
London E14 5HS |
Fax: 020 7066 8368 |
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DTR 1.3
Information gathering and publication
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Information gathering
DTR 1.3.1
See Notes
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DTR 1.3.2
See Notes
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FSA may require the publication of information
DTR 1.3.3
See Notes
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Misleading information not to be published
DTR 1.3.4
See Notes
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DTR 1.3.5
See Notes
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Notification when a RIS is not open for business
DTR 1.3.6
See Notes
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DTR 1.3.7
See Notes
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English language
DTR 1.3.8
See Notes
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DTR 1.4
Suspension of trading
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DTR 1.4.1
See Notes
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DTR 1.4.2
See Notes
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DTR 1.4.3
See Notes
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DTR 1.4.4
See Notes
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DTR 1.4.5
See Notes
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DTR 1.5
Fees, market abuse safe harbours and sanctions
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Fees
DTR 1.5.1
See Notes
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Market abuse safe harbours
DTR 1.5.2
See Notes
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Sanctions
DTR 1.5.3
See Notes
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DTR 1 Annex 2
Annex 2R Fees payable in relation to the period 1 April 2005 to 31 March 2006
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This annex belongs to DTR 1.5.1R
See Notes
Annual fees for the period 1 April 2005 to 31 March 2006 | ||
All non-listed issuers of shares, depositary receipts and securitised derivatives. Annual fees for listed issuers in respect of Disclosure Rules obligations are incorporated in the annual fee for listed issuers under the Listing Rules. A non-listed issuer which becomes subject to the disclosure rules during the course of the financial year must pay a proportion of the annual fee which is calculated in accordance with the following Table 3. | (1) For all non-listed issuers of securitised derivatives, depositary receipts and global depositary receipts the fees payable are set out in Table 1. | |
(2) For all other non-listed issuers fees to be determined according to market capitalisation as set out in Table 2. The fee is calculated as follows: | ||
(a) | the relevant minimum fee; plus | |
(b) | the cumulative total of the sums payable for each of the bands calculated by multiplying each relevant tranche of the firm's market capitalisation by the rate indicated for that tranche. | |
Fees from other fee schedules contained in other sections of the sourcebook may be applicable to a single submission. |
Issuer | Fee amount |
Issuers of securitised derivatives | 2,400 |
Issuers of depositary receipts and global depositary receipts | 2,880 |
Fee payable | |
Minimum fee () | 2,400 |
million of Market Capitalisation | Fee (/m or part m of Market Capitalisation) |
0-100 | 0 |
>100 - 250 | 9.448 |
>250 - 1,000 | 3.776 |
>1,000 - 5,000 | 1.256 |
>5,000 - 25,000 | 0.0236 |
>25,000 | 0.00632 |
Quarter in which the non-listed issuer becomes subject to the Disclosure Rules | Proportion payable |
1 July to 30 September inclusive | 75% |
1 October to 31 December inclusive | 50% |
1 January to 31 March inclusive | 25% |
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