Search Legislation

The Traded Securities (Disclosure) Regulations 1994

 Help about what version

What Version

  • Latest available (Revised)
  • Original (As made)

More Resources

Status:

This is the original version (as it was originally made). This item of legislation is currently only available in its original format.

Regulation 2

SCHEDULE

1.  Shares and stock in the share capital of a company (“shares”).

2.  Any instrument creating or acknowledging indebtedness which is issued by a company or undertaking, including, in particular, debentures, debenture stock, loan stock, bonds and certificates of deposit (“debt securities”).

3.  Any right (whether conferred by warrant or otherwise) to subscribe for shares or debt securities (“warrants”).

4.—(1) The rights under any depositary receipt.

(2) For the purposes of sub-paragraph (1) above a “depositary receipt”means a certificate or other record (whether or not in the form of a document)—

(a)which is issued by or on behalf of a person who holds any relevant securities of a particular issuer; and

(b)which acknowledges that another person is entitled to rights in relation to the relevant securities or relevant securities of the same kind.

(3) In sub-paragraph (2) above “relevant securities” means shares, debt securities and warrants.

5.  Any option to acquire or dispose of any security falling within any other paragraph of this Schedule.

6.—(1) Rights under a contract for the acquisition or disposal of relevant securities under which delivery is to be made at a future date and at a price agreed when the contract is made.

(2) In sub-paragraph (1) above—

(a)the references to a future date and to a price agreed when the contract is made include references to a date and a price determined in accordance with the terms of the contract; and

(b)“relevant securities” means any security falling within any other paragraph of this Schedule.

7.—(1) Rights under a contract which does not provide for the delivery of securities but whose purpose or pretended purpose is to secure a profit or avoid a loss by reference to fluctuations in—

(a)a share index or other similar factor connected with relevant securities; or

(b)the price of particular relevant securities.

(2) In sub-paragraph (1) above “relevant securities” means any security falling within any other paragraph of this Schedule.

Back to top

Options/Help

Print Options

Close

Legislation is available in different versions:

Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area.

Original (As Enacted or Made): The original version of the legislation as it stood when it was enacted or made. No changes have been applied to the text.

Close

Opening Options

Different options to open legislation in order to view more content on screen at once

Close

More Resources

Access essential accompanying documents and information for this legislation item from this tab. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as enacted version that was used for the print copy
  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • correction slips
  • links to related legislation and further information resources