DTR Resource Note—DTR 5—Vote Holder and Issuer Notification Rules

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

  • DTR Resource Note—DTR 5—Vote Holder and Issuer Notification Rules
  • Index
  • Setting the scene
  • Amendments to DTR 5—end of Brexit implementation period
  • DTR 5.1—Vote Holder and Issuer Notification Rules—Scope
  • DTR 5.1.1—Brexit—issuers subject to DTR 5: removing the home/host distinction
  • Issuer scope
  • Application to issuers of global depositary receipts (GDRs)
  • DTR 5.1.1—Changes in holdings
  • DTR 5.1.2 R—Disclosure of major voting rights by shareholder/holder of financial instruments
  • More...

DTR Resource Note—DTR 5—Vote Holder and Issuer Notification Rules

This Resource Note outlines the main provisions of Chapter 5 of the Disclosure Guidance and Transparency Rules (DTR 5), which deals with the notification obligations of holders and issuers of interests in voting rights in an issuer whose shares are admitted to trading on a regulated or prescribed market in the United Kingdom. It highlights relevant commentary, analysis and resources to assist with the interpretation of, and provide practical guidance on the application of, DTR 5.

Materials covered in this Resource Note include, where relevant:

  1. the Financial Conduct Authority (FCA) Handbook

  2. FCA Guidance in the FCA 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

  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. onshored EU legislation

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

  8. materials published by the European Securities and Markets Authority (ESMA)

  9. Lexis®PSL and LexisLibrary resources

Index

Setting the scene

Amendments to DTR 5—end of Brexit implementation period

DTR 5.1—Vote Holder and Issuer Notification Rules—Scope

DTR 5.1.1—Brexit—issuers subject to DTR 5: removing the home/host distinction

DTR 5.1.1—Changes in holdings

DTR 5.1.3 R & DTR 5.1.4 R—Certain voting

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