uksi/2019/1043 — The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (revoked)

2019 No. 1043 Financial Services And Markets The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (revoked) Made 24th June 2019 Laid before Parliament 25th June 2019 Coming into force 21st July 2019 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART 1 General Citation, commencement and interpretation 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Designation of competent authority 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Designation of supervisory authority for the purposes of Article 1(6a)(b) of the EU Prospectus Regulation 2A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART 2 Amendments of the Financial Services and Markets Act 2000 Introduction 3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Part 6 rules 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Matters which may be dealt with by prospectus rules 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Prohibition of dealing etc in transferable securities without approved prospectus 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exempt offers to the public 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Election to have prospectus 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Criteria for approval of prospectus by FCA 9 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exemptions from disclosure 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Consideration of application for approval 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Procedure for decision on application for approval 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repeal of sections 87E and 87F 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repeal of sections 87FA and 87FB 14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Supplementary prospectus 15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repeal of sections 87H and 87I 16 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Power of FCA to suspend scrutiny of prospectus 17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Power to restrict offer to the public 18 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Power of FCA to restrict admission to trading on a regulated market 19 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Power of FCA to suspend or prohibit trading on a trading facility 20 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Public censure of issuer 21 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Procedure under sections 87K and 87L 22 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exercise of powers at request of competent authority of another EEA State 23 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Repeal of section 87Q 24 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Compensation for false or misleading statements 25 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Penalties for breach of Part 6 rules 26 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Appointment by FCA of persons to carry out investigations 27 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Reporting of infringements 2 8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Exercise of powers where UK is host member state 29 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Meaning of “securities” etc 30 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Meaning of “ home State ” in relation to transferable securities 3 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Interpretation of Part 6 32 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Publication of Notices 33 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Misleading FCA or PRA: residual cases 34 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Amendments of Schedule 11A 35 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART 3 Amendments of primary legislation Amendments of the Financial Services Act 2012 3 6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Amendments of the Data Protection Act 2018 3 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART 4 Amendments of secondary legislation Amendments of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 38 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Amendments of the Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013 39 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART 5 Transitional provisions 40 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . PART 6 Review Review 41 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .