• Application for approval

    • MKT 4.6.1

      (1) For the purposes of section 61(1) of the FSMR, a Person intending to make a Prospectus Offer ("the Applicant") must, subject to (2), (3) and (4), submit to the Regulator:
      (a) a completed application using such form as the Regulator shall prescribe and the relevant fee prescribed in the FEES module;
      (b) a Prospectus that meets the requirements in Rule 4.5;
      (c) a statement identifying where in the Prospectus the information required in the relevant paragraphs of APP 1 has been included and, where subsequent drafts or versions of the Prospectus are submitted, a marked-up version showing the changes from the previous version submitted to the Regulator;
      (d) if information is incorporated in the Prospectus by reference to another document, a copy of the information;
      (e) the identity of the Person who is or intends to be the Reporting Entity;
      (f) contact details of two individuals who are sufficiently knowledgeable about the content of the Prospectus to be able to answer queries of the Regulator during business hours; and
      (g) any other information that the Regulator may require.
      (2) The application in (1) must be submitted to the Regulator:
      (a) in the case of an Applicant who has not made a previous Prospectus Offer, at least 20 Business Days prior to the intended date on which the Applicant expects the Prospectus to be approved;
      (b) in other cases, at least 10 Business Days prior to the date on which the Applicant expects the Prospectus to be approved; and
      (c) in the case of a Supplementary Prospectus, as soon as reasonably possible.
      (3) If the Prospectus comprises multiple documents, the application for approval must be made using such form as the Regulator shall prescribe in relation to one or more of those separate documents.
      (4) In the case of a Supplementary Prospectus, the application for approval must:
      (a) be made using such form as the Regulator shall prescribe;
      (b) be accompanied by the relevant fee prescribed in the FEES module; and
      (c) comply with the requirements in Rule 4.9.1.