Which of the following must a sponsor submit to the UKLA when meeting Listing Rules, Prospectus Rules, and DTR?

Prepare for the CISI Regulatory Exam with engaging quizzes, detailed explanations, and tools to enhance understanding. Master regulatory frameworks and improve your readiness for a successful exam outcome!

A sponsor must submit a Sponsor's declaration to the UK Listing Authority (UKLA) to comply with the Listing Rules, Prospectus Rules, and the Disclosure and Transparency Rules (DTR). This declaration is a formal acknowledgment from the sponsor confirming that they have carried out the necessary due diligence and are satisfied that the issuer has met the requirements for listing. It acts as a crucial mechanism to ensure that the integrity of the information presented by the issuer is upheld, thereby safeguarding investor interests and maintaining confidence in the market.

The other options, while possibly relevant in different contexts, do not fulfill the specific regulatory requirement that the question addresses. Market research documents, annual reports, and investor presentations are not mandated submissions under these specific regulatory frameworks, focusing instead on broader informational or promotional purposes rather than regulatory compliance. Therefore, the Sponsor's declaration is the essential document needed to demonstrate adherence to the regulatory obligations imposed on issuers seeking to list their securities on the UK market.

Subscribe

Get the latest from Examzify

You can unsubscribe at any time. Read our privacy policy