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Click here to view amending instruments for this sectionDTR 1.1 Application and purpose (Disclosure rules)1



[Note: ESMA has also issued guidelines under article 16(3) of the ESMA Regulation on enforcement of financial information http://www.esma.europa.eu/system/files/2014-807_-_final_report_on_esma_guidelines_on_enforcement_of_financial_information.pdf]
DTR 1.1.1
01/07/2012
FCA
2The 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:
(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;
(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 3with the United Kingdom as its Home Member State.3

Purpose

DTR 1.1.2
01/07/2005
FCA
The purpose of the disclosure rules is to implement:
(1) Article 6 of the Market Abuse Directive;
(2) Articles 2 and 3 of Commission Directive 2003/124/EC; and
(3) Articles 5 and 6 of Commission Directive 2004/72/EC.

FCA performing functions as competent authority

DTR 1.1.3
28/06/2013
FCA

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 DEPP (Decision Procedure and Penalties Manual)44 and 4Chapter 9 of SUP (the Supervision manual)4.
The following Regulatory Guides are also relevant:4
1. The Enforcement Guide (EG)4
2. [intentionally blank]4

Note: A list of regulated markets can be found on the FCA website.