SCHEDULES
SCHEDULE 11A

TRANSFERABLE SECURITIES
Section
85(6A)
PART 1
1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
6. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
PART 2
7
1. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
The bodies recognised for the purposes of Article 1(2)(e) of the prospectus regulation are
a
a charity
i
as defined by section 1(1) of the Charities Act 2011, or
ii
within the meaning of
section 35 of the Charities Act (Northern Ireland) 1964 (c. 33 (N.I.));
b
a body entered in the Scottish Charity Register;
c
a housing association within the meaning of—
i
section 5(1) of the Housing Act 1985 (c. 68),
ii
section 1 of the Housing Associations Act 1985 (c. 69), or
iii
Article 3 of the Housing (Northern Ireland) Order 1992 (
S.I.
1992/1725 (N.I. 15));
d
a registered society that—
i
is registered under the Co-operative and Community Benefit Societies Act 2014 as a community benefit society,
ii
is a pre-commencement society within the meaning of that Act that was registered in accordance with section 2(2)(a)(ii) of that Act, or
iii
is registered in accordance with section 1(2)(b) of the Industrial and Provident Societies Act (Northern Ireland) 1969;
e. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Sch. 11A inserted (1.7.2005) by The Prospectus Regulations 2005 (S.I. 2005/1433), reg. 2(2), Sch. 2
Sch. 11A para. 7(2)(b) substituted (1.4.2006) by The Charities and Trustee Investment (Scotland) Act 2005 (Consequential Provisions and Modifications) Order 2006 (S.I. 2006/242), arts. 1(3), 5, Sch. para. 7
Words in Sch. 11A para. 7(2)(a) substituted (14.3.2012) by Charities Act 2011 (c. 25), ss. 354(1)(2), 355, Sch. 7 para. 86 (with s. 20(2), Sch. 8)
Words in Sch. 11A para. 7(2) substituted (21.7.2019) by The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 35(3)(b) (with reg. 40)
Sch. 11A para. 7(2)(e) omitted (31.12.2020) by virtue of The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/707), regs. 1(2), 38(6) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2019/1234, regs. 1(3), 29(2))); 2020 c. 1, Sch. 5 para. 1(1)
Sch. 11A omitted so far as still in force (30.1.2024 for specified purposes) by virtue of The Public Offers and Admissions to Trading Regulations 2024 (S.I. 2024/105), reg. 2(2)(3), Sch. 3 para. 23 (with regs. 48-50)
Sch. 11A para. 9 omitted (21.7.2019) by virtue of The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 35(3)(c) (with reg. 40)
Word in Sch. 11A shoulder reference substituted (21.7.2019) by The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 35(4) (with reg. 40)
Sch. 11A para. 8 omitted (21.7.2019) by virtue of The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 35(3)(c) (with reg. 40)
Sch. 11A para. 7(1) omitted (21.7.2019) by virtue of The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 35(3)(a) (with reg. 40)
Sch. 11A para. 7(2)(d) substituted (1.8.2014) by Co-operative and Community Benefit Societies Act 2014 (c. 14), s. 154, Sch. 4 para. 72 (with Sch. 5)
Sch. 11A Pt. 1 omitted (21.7.2019) by virtue of The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (S.I. 2019/1043), regs. 1(1), 35(2) (with reg. 40)