Version status: In force | Document consolidation status: Updated to reflect all known changes

Published date: 27 March 2019

Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019 [SI 2019 No. 707]

	Introductory Text
	Part 1 General (regs. 1-2)
	Regulation 1 Citation and commencement
	Regulation 2 Interpretation
	Part 2 Amendments of primary legislation (regs. 3-39)
	Chapter 1 The Financial Services and Markets Act 2000 (regs. 3-38)
	Regulation 3 Introduction
	Regulation 4 Part 6 rules
	Regulation 5 Applications for listing
	Regulation 6 Matters which may be dealt with by prospectus rules
	Regulation 7 Prohibition of dealing etc in transferable securities without approved prospectus
	Regulation 8 Exempt offers to the public
	Regulation 9 Election to have prospectus
	Regulation 10 Criteria for approval of prospectus by FCA
	Regulation 11 Procedure for decision on application for approval
	Regulation 12 Repeal of sections 87E and 87F
	Regulation 13 Repeal of section 87FB
	Regulation 14 Repeal of sections 87H and 87I
	Regulation 15 Power to suspend or prohibit offer to the public
	Regulation 16 Power to suspend or prohibit admission to trading on a regulated market
	Regulation 17 Public censure of issuer
	Regulation 18 Repeal of section 87P
	Regulation 19 Transparency rules
	Regulation 20 Provision of voteholder information
	Regulation 21 Provision of information by issuers of transferable securities
	Regulation 22 Notification of voting rights held by issuer
	Regulation 23 Transparency rules: interpretation etc
	Regulation 24 Public censure of issuer
	Regulation 25 Power to suspend or prohibit trading of securities
	Regulation 26 Voting rights suspension orders
	Regulation 27 Corporate governance rules
	Regulation 28 Storage of regulated information
	Regulation 29 Liability for key investor information
	Regulation 30 Penalties for breach of Part 6 rules
	Regulation 31 Appointment by FCA of persons to carry out investigations
	Regulation 32 Repeal of section 100A
	Regulation 33 Meaning of "securities" etc.
	Regulation 34 Meaning of "offer of transferable securities to the public" etc.
	Regulation 35 Repeal of section 102C
	Regulation 36 Interpretation of Part 6 of FSMA 2000
	Regulation 37 Liability of issuers in connection with published information
	Regulation 38 Transferable securities excluded from certain provisions of section 85 of FSMA 2000
	Chapter 2 The Companies Act 2006 (reg. 39)
	Regulation 39 Repeal of section 1273 of the Companies Act 2006
	Part 3 Amendments of EU Regulations and EU Decision (regs. 40-69)
	Chapter 1 Amendments of Commission Regulation (EC) No. 809/2004 (regs. 40-66)
	Regulation 40 Introduction
	Regulation 41 Subject-matter of Regulation
	Regulation 42 Definitions
	Regulation 43 Categories of information in the base prospectus and the final terms
	Regulation 44 Minimum information to be included in a prospectus
	Regulation 45 Share registration document schedule
	Regulation 46 Share registration document in cases of complex financial history or significant financial commitment
	Regulation 47 Securities note schedule for certain debt securities
	Regulation 48 Guarantees building block
	Regulation 49 Banks registration document schedule
	Regulation 50 Securities note schedule for certain debt securities
	Regulation 51 Additional information building block on the underlying share
	Regulation 52 Registration document schedule for collective investment undertakings of closed-end type
	Regulation 53 Registration document schedule for States and regional and local authorities
	Regulation 54 Additional building block for consent given in accordance with Article 3(2) of Directive 2003/71/EC
	Regulation 55 Minimum information to be included in a base prospectus and its related final terms
	Regulation 56 Adaptations to minimum information given in prospectuses and base prospectuses
	Regulation 57 Content of the summary etc.
	Regulation 58 Format of the prospectus
	Regulation 59 Format of base prospectus and its related final terms
	Regulation 60 Proportionate schedule for rights issues
	Regulation 61 Proportionate schedules for small and medium-sized enterprises etc.
	Regulation 62 Proportionate requirements for issues by certain credit institutions
	Regulation 63 Arrangements for incorporation by reference
	Regulation 64 Historical financial information
	Regulation 65 Omission of Article 36
	Regulation 66 Amendments of Annexes
	Chapter 2 Amendments of other EU Regulations and of EU Decision (regs. 67-69)
	Regulation 67 Commission Regulation (EC) No 1569/2007
	Regulation 68 Commission Decision (EC) No 2008/961
	Regulation 69 European Parliament and Council Regulation (EU) 2017/1129
	Part 4 Transfer of directive functions to the Treasury or the FCA (regs. 70-72)
	Regulation 70 Interpretation of Schedule 2
	Regulation 71 Transfer of directive functions to the Treasury
	Regulation 72 Transfer of directive functions to the FCA
	Part 5 Transitional provision (reg. 73)
	Regulation 73 Prospectus approved before exit day by competent authority of other EEA state
	Schedule 1 Amendments of Annexes to Commission Regulation (EC) No 809/2004
	Schedule 2 Transfer of functions to the Treasury and the FCA
	Schedule 2, Part 1 Interpretation (para. 1)
	Schedule 2, Part 2 Directive functions transferred to the Treasury (paras. 2-20)
	Schedule 2, Part 3 Directive functions transferred to FCA (paras. 21-31)
	Signature
	Explanatory Note
	Explanatory Memorandum
	Impact Assessment