New submission portal for Issuer Management cases

Size: px

Start display at page:

Download "New submission portal for Issuer Management cases"

Suzan Banks
5 years ago
Views:

1 New submission portal for Issuer Management cases 1

2 New online portal for submissions In July we will introduce an online portal which will be our preferred method for submitting applications, requests and supporting documentation to our Issuer Management team. The cases this will cover are: admission of securities amendments of existing securities Debt Issuance Programme suspension of securities removal of securities restoration of securities This is the latest of a number of enhancements we are making to our systems. We have been transitioning from our old ELMS case management system to an upgraded Electronic Submission System (ESS) and this latest enhancement follows on from our introduction of a submission portal for investor documents and prospectuses in September

3 The benefits this will bring to you The portal will be a much easier way for you to interact with the Issuer Management team, providing more information on what is required and a streamlined process. We have received positive feedback from firms related to similar changes we have made to the way firms interact with our Transaction Review teams. The benefits include: a one-stop shop for your Transaction Review and Issuer Management interactions a safe and secure system, access is restricted to authenticated individuals within the submitter s company an easy-to-use interface the structure of the electronic forms on the portal provide information on what is required to be submitted in-built validations give instant feedback if there is missing information or errors an easy-to-use way of viewing the Official List and other related information in one location you can upload supporting documentation and information you can download and print draft and final submissions advisors can confirm approval on behalf of issuers (ie removing the need for physical sign-off). 3

4 This pack explains some key features of the new portal how to register for system access how to navigate the main case page how to upload and download documents how to download the form how to submit the case 4

5 Registering for system access To submit applications, requests and supporting documentation to us on behalf of your firm, you must first register with the Electronic Submission System for access. You can send applications, requests and supporting documentation to us via this system only after you have been accepted as an approved user of the system. The landing page for the Electronic Submission System screen has a Register for System Access button. If you have already registered because you submit investor documents and prospectuses to the Transaction Review team then you will not need to register again. All individuals from your organisation who need to use the system must register individually for access. Sharing your username and password with other users is strictly prohibited.

Navigating the main case page From the main page you will be able to select Create a New Issuer Management Case. The types of cases you can create are listed on page 2.

Once a new case is created it will have a unique case number and a Draft case status. You will receive an email confirming that your case is in draft status.

6 Navigating the main case page From the main page you will be able to select Create a New Issuer Management Case. The types of cases you can create are listed on page 2. The portal will not be used for the submission of final terms. Please continue to use the existing submission method. Once a new case is created it will have a unique case number and a Draft case status. You will receive an confirming that your case is in draft status. You should fill in all case information and upload any supporting documents. When adding a security you must press save so that the security gets added to the case, you can also add more than one security. Mandatory fields are identified with a red asterisk.

Uploading and downloading documents To upload documents select the Case Documents tab on the case. 1. Select File Category: This is automatically set to IM Document 2.

Select the file: You can do this in two ways, either by selecting Upload Files and browsing to the document you want to attach, or by dragging and dropping the file onto the

7 Uploading and downloading documents To upload documents select the Case Documents tab on the case. 1. Select File Category: This is automatically set to IM Document 2. Select Document Type: Select the appropriate document type from the dropdown list 3. Select the file: You can do this in two ways, either by selecting Upload Files and browsing to the document you want to attach, or by dragging and dropping the file onto the Or drop files link You can attach more than one document to a case. All the documents you have attached will be displayed in the Document(s) ready for submission section of the page. The system displays a progress message and confirms when the file has been uploaded.

8 Downloading the form You can download a copy of the case information using the Download Form option. The downloaded form is an editable Microsoft Word document. We recommend that you download the form and use this to check the information carefully before submitting the case. You may also like to keep a record of the information submitted for your internal records.

9 Submitting the case Once you have entered all relevant information and attached all documents, the final step is to submit the case. You will be taken to a Submission Summary page which confirms the details you are about to submit. Please check these carefully. You will receive an confirming that your case has been submitted. We will contact you directly if we need any more information or clarification. Once a case is submitted, you can still view the case information but you will not be able to amend any of these details. You will still be able to download the case information (using the Download Form option) and the submitted documents (from the Case Documents tab). If we need you to submit any further documents, you can do so using 9 the Case Documents tab, as described above.

New website address In July our website URLs for the Official List will change. The URLs will be: About The Official List: https://marketsecurities.fca.org.

10 New website address In July our website URLs for the Official List will change. The URLs will be: About The Official List: The Official List: Daily Activities: Please amend any saved pages or bookmarks you may have. After we launch the new website there will be an automatic re-direct in place so that if you go to the old address then it will automatically re-direct you to the new website. 10 For further information on listing applications and cancellations you can refer to our main website:

11 Website changes We have enhanced the way the Official List pages look and work. A new Daily Activities page is now available which shows all daily activities on one new page You can now download an excel copy of Suspended Securities in addition to Live Securities We have enhanced the Official List by adding two new columns. This consolidates information previously published separately, such as the Home Competent Authority List. 11 For further information on listing applications and cancellations you can refer to our main website:

12 What is coming next? July launch of the new submission portal July a full user guide will be available on the UKLA Listing Applications website If you have any questions please the Issuer Management team at listingapplications@fca.org.uk 12

Electronic Submission System User procedures document MAY 2018

Electronic Submission System User procedures document MAY 2018 Electronic Submission System User Guide 1 What s new? This user guide was updated in May 2018 to include recent changes to the Electronic