Retained EU Law
2017
United Kingdom
Prospectus Regulation
At a glance
Enforced by
What this Act requires
Sections that create concrete duties on businesses or carry penalties. Procedural and definitional sections are folded into the “Browse other sections” expander at the bottom of each group. Click any section title to read the source text on legislation.gov.uk.
Browse 50 other sections — procedural / definitional / commencement
Definitions
Obligation to publish a prospectus and exemption
Voluntary prospectus
Subsequent resale of securities
The prospectus
The prospectus summary
The base prospectus
The universal registration document
Prospectuses consisting of separate documents
Responsibility attaching to the prospectus
Validity of a prospectus, registration document and universal registration document
Minimum information and format
Simplified disclosure regime for secondary issuances
UK Growth prospectus
Risk factors
Final offer price and amount of securities
Omission of information
Incorporation by reference
Scrutiny and approval of the prospectus
Publication of the prospectus
Advertisements
Supplements to the prospectus
Union scope of approvals of prospectuses
Notification of prospectuses and supplements and communication of final terms
Notification of registration documents or universal registration documents
Use of language
Offer of securities to the public or admission to trading on a regulated market made under a prospectus drawn up in accordance with this Regulation
Offer of securities to the public or admission to trading on a regulated market made under a prospectus drawn up in accordance with the laws of a third country
Cooperation with third countries
Competent authorities
Powers of the competent authority
Cooperation between competent authorities
Cooperation with ESMA
Professional secrecy
Data protection
Precautionary measures
Administrative sanctions and other administrative measures
Exercise of supervisory powers and powers to impose sanctions
Right of appeal
Reporting of infringements
Publication of decisions
Reporting sanctions to ESMA
Exercise of the delegation
Committee procedure
Treasury regulations
Repeal
ESMA report on prospectuses
Review
Entry into force and application
Official guidance
Authoritative sources published by regulators or government explaining this legislation.
- Forms and checklists | FCA (opens in a new tab) from FCA Form or Template
- Approval of food establishments in Northern Ireland: governance arrangements and approvals policy - GOV.UK (opens in a new tab) from FSA Detailed Guidance
- Provisional GB Type Approval Scheme - Vehicle Certification Agency (opens in a new tab) from VCA Detailed Guidance
- Technical Guidance for Applicants - Vehicle Certification Agency (opens in a new tab) from VCA Detailed Guidance
- Heavy-Duty Emissions and CO2 Approvals for GB Type Approval - Vehicle Certification Agency (opens in a new tab) from VCA Detailed Guidance
- GB Type Approval Scheme FAQs - Vehicle Certification Agency (opens in a new tab) from VCA Detailed Guidance
- Euro 7 FAQ | Vehicle Certification Agency (opens in a new tab) from VCA Detailed Guidance
- Own initiative investigation into Hutchison 3G UK Limited (Three)’s compliance with the net neutrality and roaming regulations (opens in a new tab) from Ofcom Detailed Guidance
- Novel foods authorisation guidance | Food Standards Scotland (opens in a new tab) from Food Standards Scotland Detailed Guidance
- Official Controls Regulation | Food Standards Scotland (opens in a new tab) from Food Standards Scotland Detailed Guidance
- ... and 6 more
Enforcement and responsible bodies
The regulators that administer or enforce this legislation.
Financial Conduct Authority
Regulation of financial services firms and markets. Supervises banks, insurers, investment firms, payment services, and cryptoasset businesses. Issues authorisations and enforces conduct …
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Regulators
Learn more about the bodies that enforce this legislation.