Chapter 1 The Financial Services and Markets Act 2000

1. 3Introduction
2. 4Part 6 rules
3. 5Applications for listing
4. 6Matters which may be dealt with by prospectus rules
5. 7Prohibition of dealing etc in transferable securities without approved prospectus
6. 8Exempt offers to the public
7. 9Election to have prospectus
8. 10Criteria for approval of prospectus by FCA
9. 11Procedure for decision on application for approval
10. 12Repeal of sections 87E and 87F
11. 13Repeal of section 87FB
12. 14Repeal of sections 87H and 87I
13. 15Power to suspend or prohibit offer to the public
14. 16Power to suspend or prohibit admission to trading on a regulated market
15. 17Public censure of issuer
16. 18Repeal of section 87P
17. 19Transparency rules
18. 20Provision of voteholder information
19. 21Provision of information by issuers of transferable securities
20. 22Notification of voting rights held by issuer
21. 23Transparency rules: interpretation etc
22. 24Public censure of issuer
23. 25Power to suspend or prohibit trading of securities
24. 26Voting rights suspension orders
25. 27Corporate governance rules
26. 28Storage of regulated information
27. 29Liability for key investor information
28. 30Penalties for breach of Part 6 rules
29. 31Appointment by FCA of persons to carry out investigations
30. 32Repeal of section 100A
31. 33Meaning of “securities” etc.
32. 34Meaning of “offer of transferable securities to the public” etc.
33. 35Repeal of section 102C
34. 36Interpretation of Part 6 of FSMA 2000
35. 37Liability of issuers in connection with published information
36. 38Transferable securities excluded from certain provisions of section 85 of FSMA 2000