- Status
- In Force
- Penalty ceiling
- Regulated
Does it bind you?
Business-side roles with duties under this instrument.
Employer1
Other Acts binding the same actors
If a role above is yours, these are the other instruments that most often bind it.
Employer — also bound by 701 other Acts
TULRCA 1992
72 duties
What it requires
Regulations creating concrete business duties or carrying penalties, grouped as the instrument is structured. Titles link to the source text — blue means you’re leaving for legislation.gov.uk.
s.045
Reporting of infringements
Regulated
- Set up internal whistleblowing procedures for regulatory breachesEmployer
50 other provisions — procedural and definitional
s.001
Citation and extent
s.002
Commencement
s.003
Interpretation
s.004
“Transferable securities”
s.005
“Relevant securities”
s.006
Meaning of “excluded securities” in regulation 5
s.007
“Offer of relevant securities to the public”
s.008
“Primary MTF”
s.009
Designated activities: public offers of relevant securities
s.010
Designated activities: admissions to trading on regulated market
s.011
Designated activities: admissions to trading on primary MTF
s.012
Prohibition of public offers of relevant securities
s.013
Disclosure of information
s.014
FCA rules relating to admissions to trading on regulated market
s.015
FCA rules relating to admissions to trading on primary MTF
s.016
Qualified investor condition in regulation 15(2)(a)
s.017
FCA rules relating to public offers unconnected with admissions to trading
s.018
Further provision about regulated market admission rules
s.019
Matters to which FCA must have regard when making certain rules
s.020
Waiver or modification of rules
s.021
“Prospectus”, “MTF admission prospectus” and “supplementary prospectus”
s.022
Responsibility for prospectus or MTF admission prospectus
s.023
General requirements to be met by a prospectus or MTF admission prospectus
s.024
Issuers established outside UK: presentation of historical financial information
s.025
Exemptions from disclosure
s.026
Consideration of applications
s.027
Procedure for decision to refuse an application
s.028
Requirements to include information or to provide information or documents
s.029
Power to refuse to accept applications or to prohibit validation or publication
s.030
Compensation for statements in prospectus etc
s.031
Provisions supplementary to regulation 30
s.032
Withdrawal rights
s.033
FCA’s power to require information
s.034
Powers exercisable to protect investors or advance FCA’s operational objectives
s.035
Power to suspend, restrict or prohibit offer to the public
s.036
Power to suspend, restrict or prohibit admission to trading on regulated market
s.037
Power to suspend or prohibit trading on a trading facility
s.038
Regulations 34 to 37: procedure and right to refer to Tribunal
s.039
Public censure
s.040
Penalties for contraventions
s.041
Regulations 39 and 40: procedure and right to refer to Tribunal
s.042
Statement of policy
s.043
Statements of policy: procedure
s.044
Appointment by FCA of persons to carry out investigations
s.046
Operating an electronic system for public offers of relevant securities
s.047
Amendments to other legislation
s.048
Saving provisions
s.049
References to Tribunal
s.050
Decisions to refuse to accept applications etc
s.051
Review
Schedules
Schedules
0 of 67 shown67 other schedules
s.sch001
An offer of relevant securities to the public where the...
s.sch001
(1) An offer of relevant securities of the offeror or...
s.sch001
(1) An offer of relevant securities that—
s.sch001
An offer of relevant securities resulting from the conversion or...
s.sch001
(1) An offer of relevant securities that is made by...
s.sch001
In determining whether paragraph 1 is satisfied in relation to...
s.sch001
(1) In paragraphs 2 and 3, “qualified investor”, in relation...
s.sch001
Where— (a) a person (“the client”) who is not a...
s.sch001
For the purposes of paragraph 3, the making of an...
s.sch001
(1) For the purposes of Part 1 of this Schedule,...
s.sch001
An offer of relevant securities made solely to qualified investors...
s.sch001
An offer of relevant securities made to fewer than 150...
s.sch001
An offer of relevant securities whose denomination per unit amounts...
s.sch001
An offer of relevant securities made to persons who acquire...
s.sch001
An offer of transferable securities where— (a) the offer is...
s.sch001
An offer of shares in substitution for shares of the...
s.sch001
Dividends that are paid out to persons who hold shares—...
s.sch001
(1) An offer that is made by or on behalf...
s.sch002
In this Schedule, “prospectus” includes an MTF admission prospectus.
s.sch002
(1) For the purposes of this Part of this Schedule,...
s.sch002
(1) Unless the condition in sub-paragraph (2) is met, a...
s.sch002
(1) In this paragraph “statement” means— (a) any untrue or...
s.sch002
(1) In this paragraph “statement” means a statement included in...
s.sch002
(1) In this paragraph “statement” has the same meaning as...
s.sch002
(1) In this paragraph “statement” has the same meaning as...
s.sch002
A person (D) does not incur any liability under regulation...
s.sch002
A person (D) does not incur any liability under regulation...
s.sch002
(1) A person (D) does not incur any liability under...
s.sch002
“Expert” includes any engineer, valuer, accountant or other person whose...
s.sch003
FSMA 2000 is amended as follows.
s.sch003
(1) Section 97 (appointment by FCA of persons to carry...
s.sch003
Omit section 97A (reporting of infringements).
s.sch003
In section 102A (meaning of “securities” etc.), omit subsection (6)(a)....
s.sch003
Omit section 102B (meaning of “offer of transferable securities to...
s.sch003
In section 103 (interpretation of Part 6), in subsection (1),...
s.sch003
In section 138E (limits on effect of contravening rules), in...
s.sch003
In section 176 (entry of premises under warrant), in subsection...
s.sch003
In section 391 (publication)— (a) in subsection (1ZB)—
s.sch003
Omit section 391F (publication: special provisions relating to prospectus regulation)....
s.sch003
In section 392 (application of sections 393 and 394)—
s.sch003
(1) Section 73A (Part 6 rules) is amended as follows....
s.sch003
In section 395 (FCA’s and PRA’s procedures), in subsection (13)—...
s.sch003
In section 398 (misleading FCA or PRA: residual cases), in...
s.sch003
In Schedule 10A (liability of issuers in connection with published...
s.sch003
Omit Schedule 11A (transferable securities), so far as remaining in...
s.sch003
In section 474 of the Companies Act 2006 (minor definitions...
s.sch003
In section 48L of the Banking Act 2009 (powers in...
s.sch003
In Schedule 11 to the Financial Services and Markets Act...
s.sch003
The Financial Services and Markets Act 2000 (Financial Promotion) Order...
s.sch003
In article 2 (interpretation: general), in paragraph (1), after the...
s.sch003
In article 68 (promotions in connection with admission to certain...
s.sch003
In section 79 (listing particulars and other documents), in subsection...
s.sch003
(1) Article 70 (promotions included in listing particulars etc.) is...
s.sch003
In article 7l (material relating to prospectus for public offer...
s.sch003
The Financial Services and Markets Act 2000 (Qualifying Provisions) Order...
s.sch003
In article 1 (citation, commencement and interpretation), in paragraph (2),...
s.sch003
In article 2 (qualifying provisions: general), omit paragraph (14).
s.sch003
In article 5 (qualifying provisions: injunctions and restitution), omit paragraphs...
s.sch003
In article 6 (qualifying provisions: fees), omit paragraph (2)(t).
s.sch003
(1) Commission Regulation (EC) No 1569/2007 of 21 December establishing...
s.sch003
(1) Regulation (EU) 2017/2402 of the European Parliament and of...
s.sch003
For the italic heading immediately before section 84 substitute “Contravention...
s.sch003
Omit section 84 (matters which may be dealt with by...
s.sch003
(1) Section 85 (prohibition of dealing etc in transferable securities...
s.sch003
Omit sections 86 to 87O (which relate to public offers,...
s.sch003
(1) Section 90 (compensation for statements in listing particulars or...
s.sch003
(1) Section 91 (penalties for breach of Part 6 rules)...
Duty extraction and severity labels are Guvnor’s analysis of the instrument, not the instrument itself. Always verify against the linked source text.