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Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019 [SI 2019 No. 707]Introductory TextPart 1 General (regs. 1-2)Regulation 1 Citation and commencementRegulation 2 InterpretationPart 2 Amendments of primary legislation (regs. 3-39)Chapter 1 The Financial Services and Markets Act 2000 (regs. 3-38)Regulation 3 IntroductionRegulation 4 Part 6 rulesRegulation 5 Applications for listingRegulation 6 Matters which may be dealt with by prospectus rulesRegulation 7 Prohibition of dealing etc in transferable securities without approved prospectusRegulation 8 Exempt offers to the publicRegulation 9 Election to have prospectusRegulation 10 Criteria for approval of prospectus by FCARegulation 11 Procedure for decision on application for approvalRegulation 12 Repeal of sections 87E and 87FRegulation 13 Repeal of section 87FBRegulation 14 Repeal of sections 87H and 87IRegulation 15 Power to suspend or prohibit offer to the publicRegulation 16 Power to suspend or prohibit admission to trading on a regulated marketRegulation 17 Public censure of issuerRegulation 18 Repeal of section 87PRegulation 19 Transparency rulesRegulation 20 Provision of voteholder informationRegulation 21 Provision of information by issuers of transferable securitiesRegulation 22 Notification of voting rights held by issuerRegulation 23 Transparency rules: interpretation etcRegulation 24 Public censure of issuerRegulation 25 Power to suspend or prohibit trading of securitiesRegulation 26 Voting rights suspension ordersRegulation 27 Corporate governance rulesRegulation 28 Storage of regulated informationRegulation 29 Liability for key investor informationRegulation 30 Penalties for breach of Part 6 rulesRegulation 31 Appointment by FCA of persons to carry out investigationsRegulation 32 Repeal of section 100ARegulation 33 Meaning of "securities" etc.Regulation 34 Meaning of "offer of transferable securities to the public" etc.Regulation 35 Repeal of section 102CRegulation 36 Interpretation of Part 6 of FSMA 2000Regulation 37 Liability of issuers in connection with published informationRegulation 38 Transferable securities excluded from certain provisions of section 85 of FSMA 2000Chapter 2 The Companies Act 2006 (reg. 39)Regulation 39 Repeal of section 1273 of the Companies Act 2006Part 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 IntroductionRegulation 41 Subject-matter of RegulationRegulation 42 DefinitionsRegulation 43 Categories of information in the base prospectus and the final termsRegulation 44 Minimum information to be included in a prospectusRegulation 45 Share registration document scheduleRegulation 46 Share registration document in cases of complex financial history or significant financial commitmentRegulation 47 Securities note schedule for certain debt securitiesRegulation 48 Guarantees building blockRegulation 49 Banks registration document scheduleRegulation 50 Securities note schedule for certain debt securitiesRegulation 51 Additional information building block on the underlying shareRegulation 52 Registration document schedule for collective investment undertakings of closed-end typeRegulation 53 Registration document schedule for States and regional and local authoritiesRegulation 54 Additional building block for consent given in accordance with Article 3(2) of Directive 2003/71/ECRegulation 55 Minimum information to be included in a base prospectus and its related final termsRegulation 56 Adaptations to minimum information given in prospectuses and base prospectusesRegulation 57 Content of the summary etc.Regulation 58 Format of the prospectusRegulation 59 Format of base prospectus and its related final termsRegulation 60 Proportionate schedule for rights issuesRegulation 61 Proportionate schedules for small and medium-sized enterprises etc.Regulation 62 Proportionate requirements for issues by certain credit institutionsRegulation 63 Arrangements for incorporation by referenceRegulation 64 Historical financial informationRegulation 65 Omission of Article 36Regulation 66 Amendments of AnnexesChapter 2 Amendments of other EU Regulations and of EU Decision (regs. 67-69)Regulation 67 Commission Regulation (EC) No 1569/2007Regulation 68 Commission Decision (EC) No 2008/961Regulation 69 European Parliament and Council Regulation (EU) 2017/1129Part 4 Transfer of directive functions to the Treasury or the FCA (regs. 70-72)Regulation 70 Interpretation of Schedule 2Regulation 71 Transfer of directive functions to the TreasuryRegulation 72 Transfer of directive functions to the FCAPart 5 Transitional provision (reg. 73)Regulation 73 Prospectus approved before exit day by competent authority of other EEA stateSchedule 1 Amendments of Annexes to Commission Regulation (EC) No 809/2004Schedule 2 Transfer of functions to the Treasury and the FCASchedule 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)SignatureExplanatory NoteExplanatory MemorandumImpact Assessment
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Version date: 31 December 2020 - onwards
Version 2 of 2

Regulation 31 Appointment by FCA of persons to carry out investigations

In section 97 (appointment by FCA of persons to carry out investigations), in subsection (1) -

(a) in paragraph (a), for sub-paragraph (ii) (including the "or" at the end) substitute -

"(ii) any other provision of qualifying transparency legislation, or";

(b) in paragraph (b), for sub-paragraph (ii) (including the "or" at the end) substitute -

"(ii) any other provision of qualifying transparency legislation, or";

(c) in paragraph (ba) [Paragraph (ba) was inserted by S.I. 2015/1755.], for the words from "by that person of" to the end substitute "by that person of qualifying transparency legislation;".

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