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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
Version date: 21 July 2019 - onwards
Version 2 of 2

Regulation 1 Citation, commencement and interpretation

(1) These Regulations may be cited as the Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 and come into force on 21st July 2019.

(2) In these Regulations -

"FSMA" means the Financial Services and Markets Act 2000 [2000 c. 8.];

"the FCA" means the Financial Services and Markets Act 2000 [2000 c. 8.];

"the EU Prospectus Regulation" means Regulation (EU) No 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC [OJ No. L168 30.06.2017, p.12.].

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