NOTIFICATION OF MAJOR HOLDINGS (to be sent to the relevant issuer and to the FCA in Microsoft Word format if possible) i. TR-1: Standard form for notification of major holdings Does DTR 5 apply to AIM companies?ĭTR 5 applies to UK AIM companies and requires a person to notify the issuer of the percentage of its voting rights which he holds as a shareholder or through his direct or indirect holding of financial instruments when those voting rights reach or exceed 3% and each 1% thereafter. DTR5 means Chapter 5 of the Disclosure Guidance and Transparency Rules (as amended from time to time) Sample 1. What does DTR5 mean?ĭTR5 means Chapter 5 of the Disclosure Guidance and Transparency Rules of the FCA (as amended from time to time) of 37. The notification requirements in DTR 5 apply to an issuer whose securities are admitted to trading on a UK regulated market (such as the London Stock Exchange Main Market) or a so-called “prescribed market” (such as AIM). The Listing Rules (LR) are a set of regulations applicable to any company listed on a United Kingdom stock exchange, subject to the oversight of the Financial Conduct Authority (FCA). The scope of DTR 7 is also explained further in Appendix 1. The obligations for these issuers are considered in Appendix 1. … There are also some differences for companies which only have non-equity securities listed. Do the DTRs apply to standard listed companies?Ģ4 require all standard equity listed companies to comply with DTRs 4, 5, 6 and 7.2. In addition to financial data, companies are required to reveal their analysis of their strengths, weaknesses, opportunities, and threats. What do listed companies have to disclose?įederal regulations require the disclosure of all relevant financial information by publicly-listed companies. References to a “non-UKissuer” are to an issuer whose shares are admitted to trading on a regulated marketother than: (a) a public company within the meaning of section 4(2)of the Companies Act 2006 and. Are prelims mandatory for premium listed companies?.What does an acquisition or disposal of voting rights mean?.What are the disclosure and transparency rules?.What is a notification of major holdings?.What must a company wishing to join AIM comply with?.Do the DTRs apply to standard listed companies?.What do listed companies have to disclose?.
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