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The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019

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  1. Introductory Text

  2. PART 1 General

    1. 1.Citation, commencement and interpretation

    2. 2.Designation of competent authority

    3. 2A.Designation of supervisory authority for the purposes of Article 1(6a)(b) of the EU Prospectus Regulation

  3. PART 2 Amendments of the Financial Services and Markets Act 2000

    1. 3.Introduction

    2. 4.Part 6 rules

    3. 5.Matters which may be dealt with by prospectus rules

    4. 6.Prohibition of dealing etc in transferable securities without approved prospectus

    5. 7.Exempt offers to the public

    6. 8.Election to have prospectus

    7. 9.Criteria for approval of prospectus by FCA

    8. 10.Exemptions from disclosure

    9. 11.Consideration of application for approval

    10. 12.Procedure for decision on application for approval

    11. 13.Repeal of sections 87E and 87F

    12. 14.Repeal of sections 87FA and 87FB

    13. 15.Supplementary prospectus

    14. 16.Repeal of sections 87H and 87I

    15. 17.Power of FCA to suspend scrutiny of prospectus

    16. 18.Power to restrict offer to the public

    17. 19.Power of FCA to restrict admission to trading on a regulated market

    18. 20.Power of FCA to suspend or prohibit trading on a trading facility

    19. 21.Public censure of issuer

    20. 22.Procedure under sections 87K and 87L

    21. 23.Exercise of powers at request of competent authority of another EEA State

    22. 24.Repeal of section 87Q

    23. 25.Compensation for false or misleading statements

    24. 26.Penalties for breach of Part 6 rules

    25. 27.Appointment by FCA of persons to carry out investigations

    26. 28.Reporting of infringements

    27. 29.Exercise of powers where UK is host member state

    28. 30.Meaning of “securities” etc

    29. 31.Meaning of “home State” in relation to transferable securities

    30. 32.Interpretation of Part 6

    31. 33.Publication of Notices

    32. 34.Misleading FCA or PRA: residual cases

    33. 35.Amendments of Schedule 11A

  4. PART 3 Amendments of primary legislation

    1. 36.Amendments of the Financial Services Act 2012

    2. 37.Amendments of the Data Protection Act 2018

  5. PART 4 Amendments of secondary legislation

    1. 38.Amendments of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005

    2. 39.Amendments of the Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013

  6. PART 5 Transitional provisions

    1. 40.(1) This regulation applies to a prospectus (“relevant prospectus”) which...

  7. PART 6 Review

    1. 41.Review

  8. Signature

  9. Explanatory Note

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