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Regulation 2017/1129/EU - Prospectus Regulation (Assimilated Law)RecitalsChapter I General provisions (arts. 1-5)Article 1 Subject matter, scope and exemptionsArticle 2 DefinitionsArticle 3 Obligation to publish a prospectus and exemptionArticle 4 Voluntary prospectusArticle 5 Subsequent resale of securitiesChapter II Drawing up of the prospectus (arts. 6-12)Article 6 The prospectusArticle 7 The prospectus summaryArticle 8 The base prospectusArticle 9 The universal registration documentArticle 10 Prospectuses consisting of separate documentsArticle 11 Responsibility attaching to the prospectusArticle 12 Validity of a prospectus, registration document and universal registration documentChapter III The content and format of the prospectus (arts. 13-19)Article 13 Minimum information and formatArticle 14 Simplified disclosure regime for secondary issuancesArticle 15 UK Growth prospectusArticle 16 Risk factorsArticle 17 Final offer price and amount of securitiesArticle 18 Omission of informationArticle 19 Incorporation by referenceChapter IV Arrangements for approval and publication of the prospectus (arts. 20-23)Article 20 Scrutiny and approval of the prospectusArticle 21 Publication of the prospectusArticle 22 AdvertisementsArticle 23 Supplements to the prospectusChapter V Cross-border offers and admissions to trading on a regulated market and use of languages (arts. 24-27)Article 24 Union scope of approvals of prospectusesArticle 25 Notification of prospectuses and supplements and communication of final termsArticle 26 Notification of registration documents or universal registration documentsArticle 27 Use of languageChapter VI Specific rules in relation to issuers established in third countries (arts. 28-30)Article 28 Offer of securities to the public or admission to trading on a regulated market made under a prospectus drawn up in accordance with this RegulationArticle 29 Offer of securities to the public or admission to trading on a regulated market made under a prospectus drawn up in accordance with the laws of a third countryArticle 30 Cooperation with third countriesChapter VII The competent authority (arts. 31-37)Article 31 Competent authoritiesArticle 32 Powers of the competent authorityArticle 33 Cooperation between competent authoritiesArticle 34 Cooperation with ESMAArticle 35 Professional secrecyArticle 36 Data protectionArticle 37 Precautionary measuresChapter VIII Administrative sanctions and other administrative measures (arts. 38-43)Article 38 Administrative sanctions and other administrative measuresArticle 39 Exercise of supervisory powers and powers to impose sanctionsArticle 40 Right of appealArticle 41 Reporting of infringementsArticle 42 Publication of decisionsArticle 43 Reporting sanctions to ESMAChapter IX Treasury regulations (arts. 44-45a)Article 44 Exercise of the delegationArticle 45 Committee procedureArticle 45a Treasury regulationsChapter X Final provisions (arts. 46-49)Article 46 RepealArticle 47 ESMA report on prospectusesArticle 48 ReviewArticle 49 Entry into force and applicationAnnex I ProspectusAnnex II Registration documentAnnex III Securities noteAnnex IV Registration document for the UK Growth prospectusAnnex V Securities note for the UK Growth prospectusAnnex VIDone at
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Version status: Partly in force | Document consolidation status: Assimilated law updated to reflect all known changes
Published date: 30 June 2017

Regulation 2017/1129/EU - Prospectus Regulation (Assimilated Law)

To be revoked by s. 1 and Sch. 1 Pt 1 to the Financial Services and Markets Act 2023 (c. 29) (FSMA 2023), Sch. 1 Pt 1 not yet fully commenced.

Recitals
Chapter I General provisions (arts. 1-5)
Article 1 Subject matter, scope and exemptions
Article 2 Definitions
Article 3 Obligation to publish a prospectus and exemption
Article 4 Voluntary prospectus
Article 5 Subsequent resale of securities
Chapter II Drawing up of the prospectus (arts. 6-12)
Article 6 The prospectus
Article 7 The prospectus summary
Article 8 The base prospectus
Article 9 The universal registration document
Article 10 Prospectuses consisting of separate documents
Article 11 Responsibility attaching to the prospectus
Article 12 Validity of a prospectus, registration document and universal registration document
Chapter III The content and format of the prospectus (arts. 13-19)
Article 13 Minimum information and format
Article 14 Simplified disclosure regime for secondary issuances
Article 15 UK Growth prospectus
Article 16 Risk factors
Article 17 Final offer price and amount of securities
Article 18 Omission of information
Article 19 Incorporation by reference
Chapter IV Arrangements for approval and publication of the prospectus (arts. 20-23)
Article 20 Scrutiny and approval of the prospectus
Article 21 Publication of the prospectus
Article 22 Advertisements
Article 23 Supplements to the prospectus
Chapter V Cross-border offers and admissions to trading on a regulated market and use of languages (arts. 24-27)
Article 24 Union scope of approvals of prospectuses
Article 25 Notification of prospectuses and supplements and communication of final terms
Article 26 Notification of registration documents or universal registration documents
Article 27 Use of language
Chapter VI Specific rules in relation to issuers established in third countries (arts. 28-30)
Article 28 Offer of securities to the public or admission to trading on a regulated market made under a prospectus drawn up in accordance with this Regulation
Article 29 Offer of securities to the public or admission to trading on a regulated market made under a prospectus drawn up in accordance with the laws of a third country
Article 30 Cooperation with third countries
Chapter VII The competent authority (arts. 31-37)
Article 31 Competent authorities
Article 32 Powers of the competent authority
Article 33 Cooperation between competent authorities
Article 34 Cooperation with ESMA
Article 35 Professional secrecy
Article 36 Data protection
Article 37 Precautionary measures
Chapter VIII Administrative sanctions and other administrative measures (arts. 38-43)
Article 38 Administrative sanctions and other administrative measures
Article 39 Exercise of supervisory powers and powers to impose sanctions
Article 40 Right of appeal
Article 41 Reporting of infringements
Article 42 Publication of decisions
Article 43 Reporting sanctions to ESMA
Chapter IX Treasury regulations (arts. 44-45a)
Article 44 Exercise of the delegation
Article 45 Committee procedure
Article 45a Treasury regulations
Chapter X Final provisions (arts. 46-49)
Article 46 Repeal
Article 47 ESMA report on prospectuses
Article 48 Review
Article 49 Entry into force and application
Annex I Prospectus
Annex II Registration document
Annex III Securities note
Annex IV Registration document for the UK Growth prospectus
Annex V Securities note for the UK Growth prospectus
Annex VI
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