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Regulation (EU) 2017/1129 of the European Parliament and of the CouncilShow full title

Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC (Text with EEA relevance)

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  • Regulation revoked by 2023 c. 29 Sch. 1 Pt. 1
  • Art. 1(3) omitted by S.I. 2019/707 reg. 69(a)(i) (This amendment not applied to legislation.gov.uk. Words in reg. 69 omitted immediately before IP completion day by virtue of S.I. 2020/628, regs. 1(3), 14)
  • Art. 1(3) words omitted by S.I. 2019/1370 reg. 6(2)(a)(i) (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Art. 1(3) words omitted by S.I. 2019/1370 reg. 6(2)(b) (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Art. 1(3) words substituted by S.I. 2019/1370 reg. 6(2)(a)(ii) (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Art. 1(5) words inserted by S.I. 2019/1370 reg. 6(4) (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Art. 1(5) words inserted by S.I. 2019/1370 reg. 6(5)(b)(iii) (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Art. 1(5) words omitted by S.I. 2019/707 reg. 69(a)(ii) (This amendment not applied to legislation.gov.uk. Words in reg. 69 omitted immediately before IP completion day by virtue of S.I. 2020/628, regs. 1(3), 14)
  • Art. 1(5) words omitted by S.I. 2019/707 reg. 69(a)(iii) (This amendment not applied to legislation.gov.uk. Words in reg. 69 omitted immediately before IP completion day by virtue of S.I. 2020/628, regs. 1(3), 14)
  • Art. 1(5) words substituted by S.I. 2019/1370 reg. 6(5)(a) (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Art. 1(5) words substituted by S.I. 2019/1370 reg. 6(5)(b)(i) (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Art. 1(5) words substituted by S.I. 2019/1370 reg. 6(5)(b)(ii) (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Art. 3(2) omitted by virtue of S.I. 2019/707, reg. 69 (as amended) by S.I. 2019/1370 reg. 4 (This amendment not applied to legislation.gov.uk. The affecting statutory instrument has no legal effect. It was made under a procedure which meant that it ceased to have effect 28 days after signing unless it was debated and approved in Parliament within that time. It was not debated and approved within 28 days, so it has expired with no effect.)
  • Art. 14(2) words substituted by S.I. 2019/1234 reg. 42(a) (This amendment not applied to legislation.gov.uk. Reg. 42(a) substituted immediately before IP completion day by S.I. 2020/628, regs. 1(3), 17(4))

Changes and effects yet to be applied to the whole legislation item and associated provisions

  • Annex A replacement by EUR 2019/2146 Regulation
  • Annex B replacement by EUR 2019/2146 Regulation
  • Annex C replacement by EUR 2019/2146 Regulation
  • Annex D replacement by EUR 2019/2146 Regulation
  • Art. 1(5)(j)(v) words omitted by S.I. 2019/1234 reg. 32(5) (This amendment not applied to legislation.gov.uk. Reg. 32(5) substituted immediately before IP completion day by S.I. 2020/628, regs. 1(3), 17(3)(b))

  1. Introductory Text

  2. CHAPTER I GENERAL PROVISIONS

    1. Article 1.Subject matter, scope and exemptions

    2. Article 2.Definitions

    3. Article 3.Obligation to publish a prospectus and exemption

    4. Article 4.Voluntary prospectus

    5. Article 5.Subsequent resale of securities

  3. CHAPTER II DRAWING UP OF THE PROSPECTUS

    1. Article 6.The prospectus

    2. Article 7.The prospectus summary

    3. Article 8.The base prospectus

    4. Article 9.The universal registration document

    5. Article 10.Prospectuses consisting of separate documents

    6. Article 11.Responsibility attaching to the prospectus

    7. Article 12.Validity of a prospectus, registration document and universal registration document

  4. CHAPTER III THE CONTENT AND FORMAT OF THE PROSPECTUS

    1. Article 13.Minimum information and format

    2. Article 14.Simplified disclosure regime for secondary issuances

    3. Article 15.UK Growth prospectus

    4. Article 16.Risk factors

    5. Article 17.Final offer price and amount of securities

    6. Article 18.Omission of information

    7. Article 19.Incorporation by reference

  5. CHAPTER IV ARRANGEMENTS FOR APPROVAL AND PUBLICATION OF THE PROSPECTUS

    1. Article 20.Scrutiny and approval of the prospectus

    2. Article 21.Publication of the prospectus

    3. Article 22.Advertisements

    4. Article 23.Supplements to the prospectus

  6. CHAPTER V CROSS-BORDER OFFERS AND ADMISSIONS TO TRADING ON A REGULATED MARKET AND USE OF LANGUAGES

    1. Article 24.Union scope of approvals of prospectuses

    2. Article 25.Notification of prospectuses and supplements and communication of final terms

    3. Article 26.Notification of registration documents or universal registration documents

    4. Article 27.Use of language

  7. CHAPTER VI SPECIFIC RULES IN RELATION TO ISSUERS ESTABLISHED IN THIRD COUNTRIES

    1. Article 28.Offer of securities to the public or admission to trading on a regulated market made under a prospectus drawn up in accordance with this Regulation

    2. Article 29.Offer of securities to the public or admission to trading on a regulated market made under a prospectus drawn up in accordance with the laws of a third country

    3. Article 30.Cooperation with third countries

  8. CHAPTER VII THE COMPETENT AUTHORITY

    1. Article 31.Competent authorities

    2. Article 32.Powers of the competent authority

    3. Article 33.Cooperation between competent authorities

    4. Article 34.Cooperation with ESMA

    5. Article 35.Professional secrecy

    6. Article 36.Data protection

    7. Article 37.Precautionary measures

  9. CHAPTER VIII ADMINISTRATIVE SANCTIONS AND OTHER ADMINISTRATIVE MEASURES

    1. Article 38.Administrative sanctions and other administrative measures

    2. Article 39.Exercise of supervisory powers and powers to impose sanctions

    3. Article 40.Right of appeal

    4. Article 41.Reporting of infringements

    5. Article 42.Publication of decisions

    6. Article 43.Reporting sanctions to ESMA

  10. CHAPTER IX TREASURY REGULATIONS

    1. Article 44.Exercise of the delegation

    2. Article 45.Committee procedure

    3. Article 45a.Treasury regulations

  11. CHAPTER X FINAL PROVISIONS

    1. Article 46.Repeal

    2. Article 47.ESMA report on prospectuses

    3. Article 48.Review

    4. Article 49.Entry into force and application

  12. Signature

    1. ANNEX I

      PROSPECTUS

      1. I. Summary

      2. II. Identity of directors, senior management, advisers and auditors

      3. III. Offer statistics and expected timetable

      4. IV. Essential information

      5. V. Information on the company

      6. VI. Operating and financial review and prospects

      7. VII. Directors, senior management and employees

      8. VIII. Major shareholders and related-party transactions

      9. IX. Financial information

      10. X. Details of the offer and admission to trading details

      11. XI. Additional information

    2. ANNEX II

      REGISTRATION DOCUMENT

      1. I. Identity of directors, senior management, advisers and auditors

      2. II. Essential information about the issuer

      3. III. Information on the company

      4. IV. Operating and financial review and prospects

      5. V. Directors, senior management and employees

      6. VI. Major shareholders and related-party transactions

      7. VII. Financial information

      8. VIII. Additional information

    3. ANNEX III

      SECURITIES NOTE

      1. I. Identity of directors, senior management, advisers and auditors

      2. II. Offer statistics and expected timetable

      3. III. Essential information about the issuer

      4. IV. Essential information about the securities

      5. V. Interests of experts

      6. VI. Details of the offer and admission to trading

      7. VII. Additional information

    4. ANNEX IV

      REGISTRATION DOCUMENT FOR THE UK GROWTH PROSPECTUS

      1. I. Responsibility for the registration document

      2. II. Strategy, performance and business environment

      3. III. Corporate governance

      4. IV. Financial statements and key performance indicators

      5. V. Operating and financial review (only for equity securities issued by...

      6. VI. Shareholders’ information

    5. ANNEX V

      SECURITIES NOTE FOR THE UK GROWTH PROSPECTUS

      1. I. Responsibility for the securities note

      2. II. Statement of capitalisation and indebtedness (only for equity securities issued...

      3. III. Terms and conditions of the securities

      4. IV. Details of the offer and expected timetable

      5. V. Information on the guarantor

    6. ANNEX VI

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