Source: http://www.legislation.gov.uk/uksi/2019/707/contents/made
Timestamp: 2019-07-17 05:57:20
Document Index: 90987557

Matched Legal Cases: ['art 6', 'art 6', 'art 6', 'ART 3', 'ART 4', 'ART 2', 'ART 3']

CHAPTER 1 The Financial Services and Markets Act 2000
4.Part 6 rules
5.Applications for listing
6.Matters which may be dealt with by prospectus rules
7.Prohibition of dealing etc in transferable securities without approved prospectus
8.Exempt offers to the public
9.Election to have prospectus
10.Criteria for approval of prospectus by FCA
11.Procedure for decision on application for approval
12.Repeal of sections 87E and 87F
13.Repeal of section 87FB
14.Repeal of sections 87H and 87I
15.Power to suspend or prohibit offer to the public
16.Power to suspend or prohibit admission to trading on a regulated market
17.Public censure of issuer
18.Repeal of section 87P
19.Transparency rules
20.Provision of voteholder information
21.Provision of information by issuers of transferable securities
22.Notification of voting rights held by issuer
23.Transparency rules: interpretation etc
24.Public censure of issuer
25.Power to suspend or prohibit trading of securities
26.Voting rights suspension orders
27.Corporate governance rules
28.Storage of regulated information
29.Liability for key investor information
30.Penalties for breach of Part 6 rules
31.Appointment by FCA of persons to carry out investigations
32.Repeal of section 100A
33.Meaning of “securities” etc.
34.Meaning of “offer of transferable securities to the public” etc.
35.Repeal of section 102C
36.Interpretation of Part 6 of FSMA 2000
37.Liability of issuers in connection with published information
38.Transferable securities excluded from certain provisions of section 85 of FSMA 2000
CHAPTER 2 The Companies Act 2006
39.Repeal of section 1273 of the Companies Act 2006
PART 3 Amendments of EU Regulations and EU Decision
CHAPTER 1 Amendments of Commission Regulation (EC) No. 809/2004
40.Introduction
41.Subject-matter of Regulation
42.Definitions
43.Categories of information in the base prospectus and the final terms
44.Minimum information to be included in a prospectus
45.Share registration document schedule
46.Share registration document in cases of complex financial history or significant financial commitment
47.Securities note schedule for certain debt securities
48.Guarantees building block
49.Banks registration document schedule
50.Securities note schedule for certain debt securities
51.Additional information building block on the underlying share
52.Registration document schedule for collective investment undertakings of closed-end type
53.Registration document schedule for States and regional and local authorities
54.Additional building block for consent given in accordance with Article 3(2) of Directive 2003/71/EC
55.Minimum information to be included in a base prospectus and its related final terms
56.Adaptations to minimum information given in prospectuses and base prospectuses
57.Content of the summary etc.
58.Format of the prospectus
59.Format of base prospectus and its related final terms
60.Proportionate schedule for rights issues
61.Proportionate schedules for small and medium-sized enterprises etc.
62.Proportionate requirements for issues by certain credit institutions
63.Arrangements for incorporation by reference
64.Historical financial information
65.Omission of Article 36
66.Amendments of Annexes
CHAPTER 2 Amendments of other EU Regulations and of EU Decision
67.Commission Regulation (EC) No 1569/2007
68.Commission Decision (EC) No 2008/961
69.European Parliament and Council Regulation (EU) 2017/1129
PART 4 Transfer of directive functions to the Treasury or the FCA
70.Interpretation of Schedule 2
71.Transfer of directive functions to the Treasury
72.Transfer of directive functions to the FCA
73.Prospectus approved before exit day by competent authority of other EEA state
Amendments of Annexes to Commission Regulation (EC) No 809/2004
2.In Annex 4, in item 13.1— (a) in the first...
3.(1) Annex 7 is amended as follows.
4.In Annex 9, in item 11.1— (a) in the first...
5.(1) Annex 10 is amended as follows.
6.In Annex 11, in item 11.1— (a) in the first...
7.InAnnex 15, in item 2.9, omit “Member”, in the first...
8.In Annex 16, in the heading, for “Member States, third...
9.In Annex 21, for “as referred to in recital 18...
10.(1) Annex 22 is amended as follows.
11.(1) Annex 23 is amended as follows.
12.(1) Annex 25 is amended as follows.
13.In Annex 26, in item 13.1— (a) in the first...
14.In Annex 27, in item 11.1— (a) in the first...
15.(1) Annex 28 is amended as follows.
16.(1) Annex 29 is amended as follows.
Transfer of functions to the Treasury and the FCA
1.In this Schedule— “the prospectus regulation” means Commission Regulation (EC)...
PART 2 Directive functions transferred to the Treasury
2.The following purposes are specified for the purposes of regulation...
3.In order to take account of developments on financial markets,...
4.In order to take account of developments on financial markets,...
5.In order to take account of developments on financial markets,...
6.In order to take account of developments on financial markets,...
7.To make provision about the specific information which must be...
8.In order to take account of developments on financial markets,...
9.To establish general equivalence criteria for the purposes of rule...
10.To establish for the purposes of transparency rules an indicative...
11.In order to take account of developments on financial markets,...
12.In order to take account of developments on financial markets,...
13.In order to take account of developments on financial markets,...
14.In order to take account of developments on financial markets,...
15.To clarify the conditions of independence to be complied with...
16.To specify the contents of the notification to be made,...
17.In order to take account of developments on financial markets,...
18.In order to take account of developments on financial markets...
19.To specify the minimum standards for— (a) the dissemination of...
20.To establish general criteria for the purposes of section 89A(4A)...
PART 3 Directive functions transferred to FCA
21.The following purposes are specified for the purposes of regulation...
22.To make provision about the exemptions from the obligation to...
23.To specify a uniform template for presentation of any summary...
24.To ensure uniform application of the requirements imposed under section...
25.To ensure uniform application of the provisions authorising the omission...
26.To specify the information that may be incorporated in the...
27.To specify the procedures for the approval of the prospectus...
28.To specify the provisions relating to the publication of the...
29.To specify the provisions concerning the dissemination of advertisements announcing...
30.To specify for the purposes of section 87G of FSMA...
31.To specify the electronic reporting format for annual financial reports...
32.To specify the method of calculating any percentage threshold applying...
33.To establish standard forms, templates and procedures to be used...
34.To specify for the purposes of rule 5.3.3A of the...
35.To specify the cases in which the exemptions laid down...