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Companies Act 2006

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Companies Act 2006, Section 853E is up to date with all changes known to be in force on or before 13 December 2017. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations. Help about Changes to Legislation

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  • Act amendment to earlier affecting provision S.I. 2008/373 reg. 11(1) by S.I. 2013/1971 reg. 9(a) (This amendment not applied to legislation.gov.uk. Amending Regulations revoked (1.10.2013) without ever being in force by S.I. 2013/2224, reg. 2)
  • Act amendment to earlier affecting provision S.I. 2008/373 reg. 3(4) by S.I. 2013/1971 reg. 4 (This amendment not applied to legislation.gov.uk. Amending Regulations revoked (1.10.2013) without ever being in force by S.I. 2013/2224, reg. 2)

Whole provisions yet to be inserted into this Act (including any effects on those provisions):

[F1853EDuty to notify trading status of sharesE+W+S+N.I.

This section has no associated Explanatory Notes

(1)This section applies where a company having a share capital makes a confirmation statement.

(2)The company must deliver to the registrar a statement dealing with the matters mentioned in subsection (4) at the same time as it delivers the confirmation statement.

(3)Subsection (2) does not apply if and to the extent that the last statement delivered to the registrar under this section applies equally to the confirmation period concerned.

(4)The matters are—

(a)whether any of the company's shares were, at any time during the confirmation period concerned, shares admitted to trading on a relevant market or on any other market which is outside the United Kingdom, and

(b)if so, whether both of the conditions mentioned in subsection (5) were satisfied throughout the confirmation period concerned.

(5)The conditions are that—

(a)there were shares of the company which were shares admitted to trading on a relevant market;

(b)the company was a DTR5 issuer.

(6)In this Part—

  • DTR5 issuer” means an issuer to which Chapter 5 of the Disclosure Rules and Transparency Rules sourcebook made by the Financial Conduct Authority (as amended or replaced from time to time) applies;

  • [F2relevant market” means any of the markets mentioned in article 4(1) of the Financial Services and Markets Act 2000 (Prescribed Markets and Qualifying Investments) Order 2001.]

  • [F2“relevant market” means—

    (a)

    a recognised investment exchange, as defined in section 285(1)(a) (exemption for recognised exemption exchanges and clearance houses) of the Financial Services and Markets Act 2000 (“the Act”); and

    (b)

    any other market which is a regulated market,

    but not an overseas investment exchange, as defined by section 313 (interpretation of Part 18) of the Act.]]

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Annotations are used to give authority for changes and other effects on the legislation you are viewing and to convey editorial information. They appear at the foot of the relevant provision or under the associated heading. Annotations are categorised by annotation type, such as F-notes for textual amendments and I-notes for commencement information (a full list can be found in the Editorial Practice Guide). Each annotation is identified by a sequential reference number. For F-notes, M-notes and X-notes, the number also appears in bold superscript at the relevant location in the text. All annotations contain links to the affecting legislation.

Amendments (Textual)

F1Pt. 24 substituted (1.5.2016 for specified purposes, otherwise 30.6.2016) by Small Business, Enterprise and Employment Act 2015 (c. 26), ss. 92, 164(1); S.I. 2016/321, regs. 5, 6(a) (with Sch. para. 5)

F2Words in s. 853E(6) substituted (29.6.2017 for specified purposes, 3.7.2017 for specified purposes, 31.7.2017 for specified purposes) by The Financial Services and Markets Act 2000 (Markets in Financial Instruments) Regulations 2017 (S.I. 2017/701), reg. 1(2)(3)(4)(6), Sch. 4 para. 9(6) (with reg. 7)

Modifications etc. (not altering text)

C1Ss. 853A-853G applied by S.I. 2009/2436, Sch. 1 para. 13(1) (as substituted (30.6.2016) by The Companies and Limited Liability Partnerships (Filing Requirements) Regulations 2016 (S.I. 2016/599), reg. 1, Sch. 2 para. 2 (with reg. 4(2)-(5)))

C2Ss. 853A-853L excluded (1.5.2016 for specified purposes, 30.6.2016 in so far as not already in force) by The NRAM plc (formerly Northern Rock plc) Consequential and Supplementary Provisions Order 2016 (S.I. 2016/114), arts. 1(2), 7(1)(3), Sch. para. 1(q) (see S.I. 2016/321, regs. 5, 6)

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