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The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019

S.I. 2019/707 · Made 27 March 2019 · Extends to United Kingdom

Not fully up to date. 1 change made by later legislation has not yet been written into this text, which is revised to 11 July 2023.

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ProvisionChangeMade by
RegulationsrevokedFinancial Services and Markets Act 2023 Sch. 1 Pt. 2

Exiting The European Union

Financial Services And Markets

Made 27th March 2019

Coming into force in accordance with regulation 1(2)

M1The Treasury make these Regulations in exercise of the powers conferred by section 8(1) of, and paragraph 21 of Schedule 7 to, the European Union (Withdrawal) Act 2018 .

In accordance with paragraph 1(1) of Schedule 7 to that Act a draft of this instrument has been laid before Parliament and approved by a resolution of each House of Parliament.C1

Annotations to the whole text

Marginal citations

M1

2018 c.16.

Modifications

C1

Regulations: power to modify conferred (11.7.2023) by Financial Services and Markets Act 2023 (c. 29), ss. 3, 86(3), Sch. 1 Pt. 2; S.I. 2023/779, reg. 2(d)

Contents

  1. Part 1: General
  2. 1Citation and commencement
  3. 2Interpretation
  4. Part 2: Amendments of primary legislation
  5. Chapter 1: The Financial Services and Markets Act 2000
  6. 3Introduction
  7. 4Part 6 rules Not yet in force
  8. 5Applications for listing
  9. 6Matters which may be dealt with by prospectus rules Not yet in force
  10. 7Prohibition of dealing etc in transferable securities without approved prospectus
  11. 8Exempt offers to the public
  12. 9Election to have prospectus Not yet in force
  13. 10Criteria for approval of prospectus by FCA
  14. 11Procedure for decision on application for approval Not yet in force
  15. 12Repeal of sections 87E and 87F Not yet in force
  16. 13Repeal of section 87FB Not yet in force
  17. 14Repeal of sections 87H and 87I Not yet in force
  18. 15Power to suspend or prohibit offer to the public Not yet in force
  19. 16Power to suspend or prohibit admission to trading on a regulated market Not yet in force
  20. 17Public censure of issuer Not yet in force
  21. 18Repeal of section 87P
  22. 19Transparency rules
  23. 20Provision of voteholder information
  24. 21Provision of information by issuers of transferable securities
  25. 22Notification of voting rights held by issuer
  26. 23Transparency rules: interpretation etc
  27. 24Public censure of issuer
  28. 25Power to suspend or prohibit trading of securities
  29. 26Voting rights suspension orders
  30. 27Corporate governance rules
  31. 28Storage of regulated information
  32. 29Liability for key investor information
  33. 30Penalties for breach of Part 6 rules
  34. 31Appointment by FCA of persons to carry out investigations
  35. 32Repeal of section 100A
  36. 33Meaning of “securities” etc.
  37. 34Meaning of “offer of transferable securities to the public” etc.
  38. 35Repeal of section 102C
  39. 36Interpretation of Part 6 of FSMA 2000
  40. 37Liability of issuers in connection with published information
  41. 38Transferable securities excluded from certain provisions of section 85 of FSMA 2000
  42. Chapter 2: The Companies Act 2006
  43. 39Repeal of section 1273 of the Companies Act 2006
  44. Part 3: Amendments of EU Regulations and EU Decision
  45. Chapter 1: Amendments of Commission Regulation (EC) No. 809/2004 Not yet in force
  46. 40... Not yet in force
  47. 41Regulation 41 Not yet in force
  48. 42Regulation 42 Not yet in force
  49. 43Regulation 43 Not yet in force
  50. 44Regulation 44 Not yet in force
  51. 45Regulation 45 Not yet in force
  52. 46Regulation 46 Not yet in force
  53. 47Regulation 47 Not yet in force
  54. 48Regulation 48 Not yet in force
  55. 49Regulation 49 Not yet in force
  56. 50Regulation 50 Not yet in force
  57. 51Regulation 51 Not yet in force
  58. 52Regulation 52 Not yet in force
  59. 53Regulation 53 Not yet in force
  60. 54Regulation 54 Not yet in force
  61. 55Regulation 55 Not yet in force
  62. 56Regulation 56 Not yet in force
  63. 57Regulation 57 Not yet in force
  64. 58Regulation 58 Not yet in force
  65. 59Regulation 59 Not yet in force
  66. 60Regulation 60 Not yet in force
  67. 61Regulation 61 Not yet in force
  68. 62Regulation 62 Not yet in force
  69. 63Regulation 63 Not yet in force
  70. 64Regulation 64 Not yet in force
  71. 65Regulation 65 Not yet in force
  72. 66Regulation 66 Not yet in force
  73. Chapter 2: Amendments of other EU Regulations and of EU Decision
  74. 67Commission Regulation (EC) No 1569/2007
  75. 68Commission Decision (EC) No 2008/961
  76. 69European Parliament and Council Regulation (EU) 2017/1129
  77. Part 4: Transfer of directive functions to the Treasury or the FCA
  78. 70Interpretation of Schedule 2
  79. 71Transfer of directive functions to the Treasury
  80. 72Transfer of directive functions to the FCA
  81. Part 5: Transitional provision
  82. 73Prospectus approved before 21st July 2019 by competent authority of other EEA state Not yet in force
  83. Signature
  84. Schedule 1: Amendments of Annexes to Commission Regulation (EC) No 809/2004 Not yet in force
  85. 1Paragraph 1 Not yet in force
  86. 2Paragraph 2 Not yet in force
  87. 3Paragraph 3 Not yet in force
  88. 4Paragraph 4 Not yet in force
  89. 5Paragraph 5 Not yet in force
  90. 6Paragraph 6 Not yet in force
  91. 7Paragraph 7 Not yet in force
  92. 8Paragraph 8 Not yet in force
  93. 9Paragraph 9 Not yet in force
  94. 10Paragraph 10 Not yet in force
  95. 11Paragraph 11 Not yet in force
  96. 12Paragraph 12 Not yet in force
  97. 13Paragraph 13 Not yet in force
  98. 14Paragraph 14 Not yet in force
  99. 15Paragraph 15 Not yet in force
  100. 16Paragraph 16 Not yet in force
  101. Schedule 2: Transfer of functions to the Treasury and the FCA
  102. Part 1: Interpretation
  103. 1Paragraph 1
  104. Part 2: Directive functions transferred to the Treasury
  105. 2Paragraph 2
  106. 3Paragraph 3 Not yet in force
  107. 4Paragraph 4 Not yet in force
  108. 5Paragraph 5 Not yet in force
  109. 6Paragraph 6 Not yet in force
  110. 7Paragraph 7 Not yet in force
  111. 8Paragraph 8 Not yet in force
  112. 9Paragraph 9 Not yet in force
  113. 10Paragraph 10
  114. 11Paragraph 11
  115. 12Paragraph 12
  116. 13Paragraph 13
  117. 14Paragraph 14
  118. 15Paragraph 15
  119. 16Paragraph 16
  120. 17Paragraph 17
  121. 18Paragraph 18
  122. 19Paragraph 19
  123. 20Paragraph 20
  124. Part 3: Directive functions transferred to FCA
  125. 21Paragraph 21
  126. 22Paragraph 22 Not yet in force
  127. 23Paragraph 23 Not yet in force
  128. 24Paragraph 24 Not yet in force
  129. 25Paragraph 25 Not yet in force
  130. 26Paragraph 26 Not yet in force
  131. 27Paragraph 27 Not yet in force
  132. 28Paragraph 28 Not yet in force
  133. 29Paragraph 29 Not yet in force
  134. 30Paragraph 30 Not yet in force
  135. 31Paragraph 31
  136. 32Paragraph 32
  137. 33Paragraph 33
  138. 34Paragraph 34
  139. 35Paragraph 35
  140. Explanatory note