The Financial Services and Markets Act 2000 (Official Listing of Securities) (Transitional Provisions) Order 2001

Listing particulars etc.

5.—(1) Where, before commencement—

(a) the Authority authorised the omission of any information from an offering document under section 148(1) of the 1986 Act (including that section as applied to a prospectus by section 154A of that Act or as applied to a prospectus of the kind described in section 156A(1) of that Act by section 156A(3)), but

(b) the document had not been published,

the authorisation to omit that information from the document is to be treated as having been given by the competent authority under section 82(1) (or, as the case may be, under section 82(1) as applied by section 86 or by section 87(5) and Schedule 9).

(2) Where, before commencement—

(a) an offering document was delivered for registration to the registrar of companies in accordance with section 149(1) of the 1986 Act (including that section as applied to a prospectus by section 154A of that Act or as applied to a prospectus of the kind described in section 156A(1) of that Act by section 156A(3)), but

(b) the offering document had not been published,

the delivery of the document to the registrar of companies is to be treated as done in compliance with section 83(1) (or, as the case may be, in compliance with section 83(1) as applied by section 86 or by section 87(5) and Schedule 9).

(3) In this article any reference to any thing done under or in accordance with any provision of the 1986 Act includes, in relation to non-Part IV securities, a reference to the doing of that thing in accordance with procedures and practices applied by the Authority in relation to the admission of such securities to the official list.

(4) In relation to Part IV securities, “offering document” means any of the following—

(a) listing particulars within the meaning of section 144(2A) of the 1986 Act,

(b) supplementary listing particulars within the meaning of section 147(1) of that Act,

(c) a prospectus within the meaning of section 144(2) of that Act,

(d) a prospectus of the kind mentioned in section 156A(1) of that Act, or

(e) a supplementary prospectus within the meaning of section 147(1) of that Act as applied by section 154A or 156A(3) of that Act.

(5) In relation to non-Part IV securities, “offering document” means any listing particulars, supplementary listing particulars, prospectus or supplementary prospectus the preparation of which was required in accordance with the procedures and practices applied by the Authority in relation to the admission of such securities to the official list.