Combined View

V Glossary
V High Level Standards
V Prudential Standards
V Business Standards
V Regulatory Processes
V Redress
V Specialist sourcebooks
V Listing, Prospectus and Disclosure
- VLR Listing Rules
- VPR Prospectus Rules
- VDTR Disclosure Rules and Transparency Rules
  - VDTR 1 Introduction
  - VDTR 1A Introduction (Transparency rules)
  - VDTR 1B Introduction (Corporate governance)
  - VDTR 2 Disclosure and control of inside information by issuers
  - VDTR 3 Transactions by persons discharging managerial responsibilities and their connected persons
  - VDTR 4 Periodic Financial Reporting
  - VDTR 5 Vote Holder and Issuer Notification Rules
  - VDTR 6 Continuing obligations and access to information
  - VDTR 7 Corporate governance
  - V Transitional Provisions
V Handbook Guides
V Regulatory Guides

DTR 1.1.1

01/07/2012

FCA

(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:

(a) whose financial instruments are admitted to trading on a regulated market; or

(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;

(b) DTR 1.3.1 R - DTR 1.3.2 G and DTR 1.3.8 R;

(d) DTR 1.5.3 G; and

(e) DTR 3; and

(4) DTR 3 applies to a non-EEA state issuer 3 with 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

01/04/2013

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 at the following address: www.fsa.gov.uk/register/exchanges.do

DTR 1.1 Application and purpose (Disclosure rules)1

Purpose

FCA performing functions as competent authority