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
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
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