http://www.legislation.gov.uk/uksi/2019/707/contents

The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019

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EXITING THE EUROPEAN UNION

FINANCIAL SERVICES AND MARKETS

Statute Law Database

2023-11-27

Expert Participation

2023-07-11

These Regulations are made in exercise of the powers in section 8(1) of, and paragraph 21 of Schedule 7 to, the European Union (Withdrawal) Act 2018 (c. 16) in order to address failures of retained EU law to operate effectively and other deficiencies (in particular, under section 8(2)(a), (b), (c) and (f)) arising from the withdrawal of the United Kingdom from the European Union.

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Regulations

Financial Services and Markets Act 2023

Sch. 1

Pt. 2

s. 1(4)

s. 86(3)

The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019

PART 1General

1Citation and commencement

2Interpretation

PART 2Amendments of primary legislation

CHAPTER 1The Financial Services and Markets Act 2000

3Introduction

4Part 6 rules

5Applications for listing

6Matters which may be dealt with by prospectus rules

7Prohibition of dealing etc in transferable securities without approved prospectus

8Exempt offers to the public

9Election to have prospectus

10Criteria for approval of prospectus by FCA

11Procedure for decision on application for approval

12Repeal of sections 87E and 87F

13Repeal of section 87FB

14Repeal of sections 87H and 87I

15Power to suspend or prohibit offer to the public

16Power to suspend or prohibit admission to trading on a regulated market

17Public censure of issuer

18Repeal of section 87P

19Transparency rules

20Provision of voteholder information

21Provision of information by issuers of transferable securities

22Notification of voting rights held by issuer

23Transparency rules: interpretation etc

24Public censure of issuer

25Power to suspend or prohibit trading of securities

26Voting rights suspension orders

27Corporate governance rules

28Storage of regulated information

29Liability for key investor information

30Penalties for breach of Part 6 rules

31Appointment by FCA of persons to carry out investigations

32Repeal of section 100A

33Meaning of “securities” etc.

34Meaning of “offer of transferable securities to the public” etc.

35Repeal of section 102C

36Interpretation of Part 6 of FSMA 2000

37Liability of issuers in connection with published information

38Transferable securities excluded from certain provisions of section 85 of FSMA 2000

CHAPTER 2The Companies Act 2006

39Repeal of section 1273 of the Companies Act 2006

PART 3Amendments of EU Regulations and EU Decision

CHAPTER 1Amendments of Commission Regulation (EC) No. 809/2004

40...

41Subject-matter of Regulation

42Definitions

43Categories of information in the base prospectus and the final terms

44Minimum information to be included in a prospectus

45Share registration document schedule

46Share registration document in cases of complex financial history or significant financial commitment

47Securities note schedule for certain debt securities

48Guarantees building block

49Banks registration document schedule

50Securities note schedule for certain debt securities

51Additional information building block on the underlying share

52Registration document schedule for collective investment undertakings of closed-end type

53Registration document schedule for States and regional and local authorities

54Additional building block for consent given in accordance with Article 3(2) of Directive 2003/71/EC

55Minimum information to be included in a base prospectus and its related final terms

56Adaptations to minimum information given in prospectuses and base prospectuses

57Content of the summary etc.

58Format of the prospectus

59Format of base prospectus and its related final terms

60Proportionate schedule for rights issues

61Proportionate schedules for small and medium-sized enterprises etc.

62Proportionate requirements for issues by certain credit institutions

63Arrangements for incorporation by reference

64Historical financial information

65Omission of Article 36

66Amendments of Annexes

CHAPTER 2Amendments of other EU Regulations and of EU Decision

67Commission Regulation (EC) No 1569/2007

68Commission Decision (EC) No 2008/961

69European Parliament and Council Regulation (EU) 2017/1129

PART 4Transfer of directive functions to the Treasury or the FCA

70Interpretation of Schedule 2

71Transfer of directive functions to the Treasury

72Transfer of directive functions to the FCA

PART 5Transitional provision

73Prospectus approved before 21st July 2019 by competent authority of other EEA state

SCHEDULE 1Amendments of Annexes to Commission Regulation (EC) No 809/2004

1(1) Annex 1 is amended as follows.

2In Annex 4, in item 13.1— (a) in the first...

3(1) Annex 7 is amended as follows.

4In Annex 9, in item 11.1— (a) in the first...

5(1) Annex 10 is amended as follows.

6In Annex 11, in item 11.1— (a) in the first...

7In Annex 15, in item 2.9, omit “Member”, in the first...

8In Annex 16, in the heading, for “Member States, third...

9In Annex 21, for “as referred to in recital 18...

10(1) Annex 22 is amended as follows.

11(1) Annex 23 is amended as follows.

12(1) Annex 25 is amended as follows.

13In Annex 26, in item 13.1— (a) in the first...

14In Annex 27, in item 11.1— (a) in the first...

15(1) Annex 28 is amended as follows.

16(1) Annex 29 is amended as follows.

SCHEDULE 2Transfer of functions to the Treasury and the FCA

PART 1Interpretation

1In this Schedule— ... ... “the Disclosure Guidance and Transparency...

PART 2Directive functions transferred to the Treasury

2The following purposes are specified for the purposes of regulation...

3In order to take account of developments on financial markets,...

4In order to take account of developments on financial markets,...

5In order to take account of developments on financial markets,...

6In order to take account of developments on financial markets,...

7In order to take account of developments on financial markets,...

8In order to take account of developments on financial markets,...

9In order to take account of developments on financial markets,...

10To establish for the purposes of transparency rules an indicative...

11In order to take account of developments on financial markets,...

12In order to take account of developments on financial markets,...

13In order to take account of developments on financial markets,...

14In order to take account of developments on financial markets,...

15To clarify the conditions of independence to be complied with...

16To specify the contents of the notification to be made,...

17In order to take account of developments on financial markets,...

18In order to take account of developments on financial markets...

19To specify the minimum standards for— (a) the dissemination of...

20To establish general criteria for the purposes of section 89A(4A)...

PART 3Directive functions transferred to FCA

21The following purposes are specified for the purposes of regulation...

22To make provision about the exemptions from the obligation to...

23To make provision about the exemptions from the obligation to...

24To make provision about the exemptions from the obligation to...

25To make provision about the exemptions from the obligation to...

26To make provision about the exemptions from the obligation to...

27To make provision about the exemptions from the obligation to...

28To make provision about the exemptions from the obligation to...

29To make provision about the exemptions from the obligation to...

30To make provision about the exemptions from the obligation to...

31To specify the electronic reporting format for annual financial reports...

32To specify the method of calculating any percentage threshold applying...

33To establish standard forms, templates and procedures to be used...

34To specify for the purposes of rule 5.3.3A of the...

35To specify the cases in which the exemptions laid down...

2019 No. 707

Exiting The European Union

Financial Services And Markets

The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019

Made27th March 2019

Coming into force in accordance with regulation 1(2)

M1The Treasury make these Regulations in exercise of the powers conferred by section 8(1) of, and paragraph 21 of Schedule 7 to, the European Union (Withdrawal) Act 2018 .

In accordance with paragraph 1(1) of Schedule 7 to that Act a draft of this instrument has been laid before Parliament and approved by a resolution of each House of Parliament.C1

Annotations:

Modifications etc. (not altering text)

Regulations: power to modify conferred (11.7.2023) by Financial Services and Markets Act 2023 (c. 29), ss. 3, 86(3), Sch. 1 Pt. 2; S.I. 2023/779, reg. 2(d)

Marginal Citations

2018 c.16.