OpenLegislation

The Financial Services and Markets Act 2000 (Prospectus) Regulations 2019 (revoked)

S.I. 2019/1043 · Made 24 June 2019 · Extends to United Kingdom

Up to date with all changes known to legislation.gov.uk, revised to 19 January 2026.

Financial Services And Markets

Made 24th June 2019

Laid before Parliament 25th June 2019

Coming into force 21st July 2019

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Annotations to the whole text

Textual amendments

F1

Regulations revoked (14.12.2023 for the revocation of reg. 41, 19.1.2026 in so far as not already in force) by Financial Services and Markets Act 2023 (c. 29), s. 86(3), Sch. 1 Pt. 2 (with s. 1(4)); S.I. 2023/1382, reg. 2(c)(xxiv); S.I. 2025/1078, reg. 5(c)(i)

Contents

  1. Part 1: General Repealed
  2. 1Citation, commencement and interpretation Repealed
  3. 2Designation of competent authority Repealed
  4. 2ADesignation of supervisory authority for the purposes of Article 1(6a)(b) of the EU Prospectus Regulation Repealed
  5. Part 2: Amendments of the Financial Services and Markets Act 2000 Repealed
  6. 3Introduction Repealed
  7. 4Part 6 rules Repealed
  8. 5Matters which may be dealt with by prospectus rules Repealed
  9. 6Prohibition of dealing etc in transferable securities without approved prospectus Repealed
  10. 7Exempt offers to the public Repealed
  11. 8Election to have prospectus Repealed
  12. 9Criteria for approval of prospectus by FCA Repealed
  13. 10Exemptions from disclosure Repealed
  14. 11Consideration of application for approval Repealed
  15. 12Procedure for decision on application for approval Repealed
  16. 13Repeal of sections 87E and 87F Repealed
  17. 14Repeal of sections 87FA and 87FB Repealed
  18. 15Supplementary prospectus Repealed
  19. 16Repeal of sections 87H and 87I Repealed
  20. 17Power of FCA to suspend scrutiny of prospectus Repealed
  21. 18Power to restrict offer to the public Repealed
  22. 19Power of FCA to restrict admission to trading on a regulated market Repealed
  23. 20Power of FCA to suspend or prohibit trading on a trading facility Repealed
  24. 21Public censure of issuer Repealed
  25. 22Procedure under sections 87K and 87L Repealed
  26. 23Exercise of powers at request of competent authority of another EEA State Repealed
  27. 24Repeal of section 87Q Repealed
  28. 25Compensation for false or misleading statements Repealed
  29. 26Penalties for breach of Part 6 rules Repealed
  30. 27Appointment by FCA of persons to carry out investigations Repealed
  31. 28Reporting of infringements Repealed
  32. 29Exercise of powers where UK is host member state Repealed
  33. 30Meaning of “securities” etc Repealed
  34. 31Meaning of “home State” in relation to transferable securities Repealed
  35. 32Interpretation of Part 6 Repealed
  36. 33Publication of Notices Repealed
  37. 34Misleading FCA or PRA: residual cases Repealed
  38. 35Amendments of Schedule 11A Repealed
  39. Part 3: Amendments of primary legislation Repealed
  40. 36Amendments of the Financial Services Act 2012 Repealed
  41. 37Amendments of the Data Protection Act 2018 Repealed
  42. Part 4: Amendments of secondary legislation Repealed
  43. 38Amendments of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 Repealed
  44. 39Amendments of the Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013 Repealed
  45. Part 5: Transitional provisions Repealed
  46. 40Regulation 40 Repealed
  47. Part 6: Review Repealed
  48. 41Review Repealed
  49. Signature
  50. Explanatory note

1Citation, commencement and interpretationF1

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2Designation of competent authorityF1

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2ADesignation of supervisory authority for the purposes of Article 1(6a)(b) of the EU Prospectus RegulationF1

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3IntroductionF1

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4Part 6 rulesF1

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5Matters which may be dealt with by prospectus rulesF1

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6Prohibition of dealing etc in transferable securities without approved prospectusF1

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7Exempt offers to the publicF1

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8Election to have prospectusF1

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9Criteria for approval of prospectus by FCAF1

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10Exemptions from disclosureF1

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11Consideration of application for approvalF1

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12Procedure for decision on application for approvalF1

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13Repeal of sections 87E and 87FF1

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14Repeal of sections 87FA and 87FBF1

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15Supplementary prospectusF1

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16Repeal of sections 87H and 87IF1

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17Power of FCA to suspend scrutiny of prospectusF1

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18Power to restrict offer to the publicF1

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19Power of FCA to restrict admission to trading on a regulated marketF1

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20Power of FCA to suspend or prohibit trading on a trading facilityF1

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21Public censure of issuerF1

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22Procedure under sections 87K and 87LF1

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23Exercise of powers at request of competent authority of another EEA StateF1

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24Repeal of section 87QF1

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25Compensation for false or misleading statementsF1

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26Penalties for breach of Part 6 rulesF1

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27Appointment by FCA of persons to carry out investigationsF1

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28Reporting of infringementsF1

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29Exercise of powers where UK is host member stateF1

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30Meaning of “securities” etcF1

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31Meaning of “home State” in relation to transferable securitiesF1

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32Interpretation of Part 6F1

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33Publication of NoticesF1

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34Misleading FCA or PRA: residual casesF1

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35Amendments of Schedule 11AF1

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36Amendments of the Financial Services Act 2012F1

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37Amendments of the Data Protection Act 2018F1

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38Amendments of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005F1

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39Amendments of the Financial Services and Markets Act 2000 (Qualifying EU Provisions) Order 2013F1

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40F1

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41ReviewF1

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Signature

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Explanatory note

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