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Version status: Revoked | Document consolidation status: Updated to reflect all known changes
Version date: 3 July 2016 - onwards
  Version 3 of 3    

Regulation 11 Disclosure of information (additional requirements)

Revoked from 3 July 2016

(1) Each relevant person shall draw up a list -

(a) of those persons working for the relevant person, under a contract of employment or otherwise, who have access to inside information relating directly or indirectly to the relevant person who is the issuer and

(b) containing the information set out in Schedule 4.

(2) Each relevant person shall regularly update the list drawn up by the relevant person pursuant to paragraph (1).

(3) The Bank may request from any relevant person any list drawn up by the relevant person pursuant to paragraph (1).

(4) A relevant person shall comply with a request under paragraph (3) made to the relevant person.

(5) Subject to paragraph (6), in this Regulation, ''relevant person" means -

(a) the issuer,

(b) a person acting on behalf of the issuer, or

(c) a person acting for the account of the issuer.

(6) This Regulation does not apply to the issuer of the financial instrument concerned (or persons acting on behalf of, or for the account of, the issuer)

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