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Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 [SI 2019 No. 1043]Introductory TextPart 1 General (regs. 1-2A)Regulation 1 Citation, commencement and interpretationRegulation 2 Designation of competent authorityRegulation 2A Designation of supervisory authority for the purposes of Article 1(6a)(b) of the EU Prospectus RegulationPart 2 Amendments of the Financial Services and Markets Act 2000 (regs. 3-35)Regulation 3 IntroductionRegulation 4 Part 6 rulesRegulation 5 Matters which may be dealt with by prospectus rulesRegulation 6 Prohibition of dealing etc in transferable securities without approved prospectusRegulation 7 Exempt offers to the publicRegulation 8 Election to have prospectusRegulation 9 Criteria for approval of prospectus by FCARegulation 10 Exemptions from disclosureRegulation 11 Consideration of application for approvalRegulation 12 Procedure for decision on application for approvalRegulation 13 Repeal of sections 87E and 87FRegulation 14 Repeal of sections 87FA and 87FBRegulation 15 Supplementary prospectusRegulation 16 Repeal of sections 87H and 87IRegulation 17 Power of FCA to suspend scrutiny of prospectusRegulation 18 Power to restrict offer to the publicRegulation 19 Power of FCA to restrict admission to trading on a regulated marketRegulation 20 Power of FCA to suspend or prohibit trading on a trading facilityRegulation 21 Public censure of issuerRegulation 22 Procedure under sections 87K and 87LRegulation 23 Exercise of powers at request of competent authority of another EEA StateRegulation 24 Repeal of section 87QRegulation 25 Compensation for false or misleading statementsRegulation 26 Penalties for breach of Part 6 rulesRegulation 27 Appointment by FCA of persons to carry out investigationsRegulation 28 Reporting of infringementsRegulation 29 Exercise of powers where UK is host member stateRegulation 30 Meaning of "securities" etcRegulation 31 Meaning of "home State" in relation to transferable securitiesRegulation 32 Interpretation of Part 6Regulation 33 Publication of NoticesRegulation 34 Misleading FCA or PRA: residual casesRegulation 35 Amendments of Schedule 11APart 3 Amendments of primary legislation (regs. 36-37)Regulation 36 Amendments of the Financial Services Act 2012Regulation 37 Amendments of the Data Protection Act 2018Part 4 Amendments of secondary legislation (regs. 38-39)Regulation 38 Amendments of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005Regulation 39 Amendments of the Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013Part 5 Transitional provisions (reg.40)Regulation 40Part 6 Review (reg. 41)Regulation 41 ReviewSignatureExplanatory NoteExplanatory Memorandum
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Version status: In force | Document consolidation status: Updated to reflect all known changes
Published date: 24 June 2019

Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 [SI 2019 No. 1043]

To be revoked by s. 1 and Sch. 1 Pt 2 to the Financial Services and Markets Act 2023 (c. 29) (FSMA 2023), Sch. 1 Pt 2 not yet fully commenced.

Introductory Text
Part 1 General (regs. 1-2A)
Regulation 1 Citation, commencement and interpretation
Regulation 2 Designation of competent authority
Regulation 2A Designation of supervisory authority for the purposes of Article 1(6a)(b) of the EU Prospectus Regulation
Part 2 Amendments of the Financial Services and Markets Act 2000 (regs. 3-35)
Regulation 3 Introduction
Regulation 4 Part 6 rules
Regulation 5 Matters which may be dealt with by prospectus rules
Regulation 6 Prohibition of dealing etc in transferable securities without approved prospectus
Regulation 7 Exempt offers to the public
Regulation 8 Election to have prospectus
Regulation 9 Criteria for approval of prospectus by FCA
Regulation 10 Exemptions from disclosure
Regulation 11 Consideration of application for approval
Regulation 12 Procedure for decision on application for approval
Regulation 13 Repeal of sections 87E and 87F
Regulation 14 Repeal of sections 87FA and 87FB
Regulation 15 Supplementary prospectus
Regulation 16 Repeal of sections 87H and 87I
Regulation 17 Power of FCA to suspend scrutiny of prospectus
Regulation 18 Power to restrict offer to the public
Regulation 19 Power of FCA to restrict admission to trading on a regulated market
Regulation 20 Power of FCA to suspend or prohibit trading on a trading facility
Regulation 21 Public censure of issuer
Regulation 22 Procedure under sections 87K and 87L
Regulation 23 Exercise of powers at request of competent authority of another EEA State
Regulation 24 Repeal of section 87Q
Regulation 25 Compensation for false or misleading statements
Regulation 26 Penalties for breach of Part 6 rules
Regulation 27 Appointment by FCA of persons to carry out investigations
Regulation 28 Reporting of infringements
Regulation 29 Exercise of powers where UK is host member state
Regulation 30 Meaning of "securities" etc
Regulation 31 Meaning of "home State" in relation to transferable securities
Regulation 32 Interpretation of Part 6
Regulation 33 Publication of Notices
Regulation 34 Misleading FCA or PRA: residual cases
Regulation 35 Amendments of Schedule 11A
Part 3 Amendments of primary legislation (regs. 36-37)
Regulation 36 Amendments of the Financial Services Act 2012
Regulation 37 Amendments of the Data Protection Act 2018
Part 4 Amendments of secondary legislation (regs. 38-39)
Regulation 38 Amendments of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005
Regulation 39 Amendments of the Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013
Part 5 Transitional provisions (reg.40)
Regulation 40
Part 6 Review (reg. 41)
Regulation 41 Review
Signature
Explanatory Note
Explanatory Memorandum
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