Glossary Definition

 

 

issuer
FCAPRA
(1) 1(except 6499015858as otherwise provided for below):49
(a) (in relation to any security) (other than a unit in a collective investment scheme) the person by whom it is or is to be issued;1
(b) (in relation to a unit in a collective investment scheme) the operator of the scheme; 1
(c) (in relation to an interest in a limited partnership except for a limited partnership scheme92) the partnership;1
(d) (in relation to certificates representing certain securities) the person who issued or is to issue the security to which the certificate or other instrument relates8; or81
(e) an entity which issues transferable securities and, where appropriate, other financial instruments.8

[Note: article 2(2) of the MiFID Regulation]81111
(2) (in chapters 1, 2 and 3 of16 DTR and FEES in relation to DTR73) any company or other legal person or undertaking (including a public sector issuer), any class of whose financial instruments:90
(a) have been admitted to trading on a regulated market; or
(b) are the subject of an application for admission to trading on a regulated market;
other than issuers who have not requested or approved admission of their financial instruments to trading on a regulated market.
(2A) (in chapters 1A, 1B, 1334, 6 and 7 133of DTR) a legal entity governed by private or public law, including a State, whose securities are admitted to trading on a regulated market, the issuer being, in the case of depository receipts representing securities, the issuer of the securities represented;16
(2B) (in chapter 5 of DTR):13416
(a) a legal entity governed by private or public law, including a State whose shares are admitted to trading on a regulated market, the issuer being in the case of depositary receipts representing securities, the issuer of the shares represented; or16
(b) a public company within the meaning of section 4(2)134of the Companies Act 2006134 and any other body corporate incorporated in and having a principal place of business in the13414 United Kingdom14, whose shares are admitted to trading on a market which (not being a regulated market) is a prescribed market.16
(3) (in LR and FEES in relation to LR73) any company or other legal person or undertaking (including a public sector issuer), any class of whose securities has been admitted to listing or is the subject of an application for admission to listing.1

(4) (in PR and FEES in relation to PR73) (as defined in section 102A of the Act) a legal person who issues or proposes to issue the transferable securities in question.1
135(5) (in RCB and 136FEES 1 to FEES 4136, where applicable)137 (as defined in Regulation 1(2) of the RCB Regulations) a person which issues a covered bond.
(6) (in FUND) means an issuer within the meaning of article 2(1)(d) of the Transparency Directive where that issuer has its registered office in the EEA and where its shares are admitted to trading on a regulated market.