DTR Resource Note—DTR 3—Transactions by persons discharging managerial responsibilities and their connected persons
DTR Resource Note—DTR 3—Transactions by persons discharging managerial responsibilities and their connected persons

The following Corporate practice note provides comprehensive and up to date legal information covering:

  • DTR Resource Note—DTR 3—Transactions by persons discharging managerial responsibilities and their connected persons
  • Index
  • Setting the scene
  • Amendments to DTR 3—end of Brexit implementation period
  • DTR 3—Transactions by a person discharging managerial responsibilities
  • DTR 3.1.1 G—Purpose
  • Who is an issuer?
  • Who is a PDMR?
  • DTR 3.1.2—Notification of transactions by persons discharging managerial responsibilities
  • Notification requirements

This Resource Note highlights relevant commentary, analysis and resources to assist with the interpretation of, and provide practical guidance on the application of Chapter 3 of the Disclosure Guidance and Transparency Rules (DTR 3).

Materials covered in this Resource Note include, where relevant:

  1. the Financial Conduct Authority (FCA) Handbook

  2. FCA guidance in its Knowledge Base—Procedural notes and Technical notes (which constitute formal guidance and are binding on the FCA)

  3. FCA consultation papers, discussion papers and policy, feedback statements and warnings

  4. Primary Market Bulletins and other publications of the FCA

  5. former UKLA technical and procedural notes and the UKLA's newsletter List!, where still relevant to the interpretation or application of a provision

  6. retained EU legislation

  7. EU Directives and EU Regulations, where relevant to interpretation of a provision

  8. Lexis PSL and LexisLibrary resources

Index

Setting the scene

Amendments to DTR 3—end of Brexit implementation period

DTR 3—Transactions by a person discharging managerial responsibilities

DTR 3.1.1 G and DTR 3.1.8 R—Purpose and Notification of transactions by issuers to a RIS

DTR 3.1.2 R—Notification of transactions by persons discharging managerial responsibilities

Setting the scene

FCA Handbook linkDTR 3
What it coversDTR 3 contains guidance on some of the notification obligations of issuers, persons discharging managerial responsibilities (PDMR) and their connected persons in respect of transactions conducted on their own account in shares or debt instruments of the issuer (or derivatives
Related documents:

Popular documents