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- Gwreiddiol (a wnaed Fel)
The Official Listing of Securities, Prospectus and Transparency (Amendment etc.) (EU Exit) Regulations 2019
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PART 3Directive functions transferred to FCA
21. The following purposes are specified for the purposes of regulation 72.
22. To make provision about the exemptions from the obligation to publish a prospectus that are contained in rule 1.2.2 or rule 1.2.3(2) to (6) of the Prospectus Rules sourcebook(1).
23. To specify a uniform template for presentation of any summary required under section 84 of FSMA 2000(2).
24. To ensure uniform application of the requirements imposed under section 84 of the FSMA 2000 as to the content of documents(3).
25. To ensure uniform application of the provisions authorising the omission of certain information from the prospectus(4).
26. To specify the information that may be incorporated in the prospectus by reference to one or more previously or simultaneously published documents(5).
27. To specify the procedures for the approval of the prospectus and the conditions in accordance with which time limits may be adjusted(6).
28. To specify the provisions relating to the publication of the prospectus(7).
29. To specify the provisions concerning the dissemination of advertisements announcing the intention to offer securities to the public or the admission to trading on a regulated market, in particular before the prospectus has been made available to the public or before the opening of the subscription(8).
30. To specify for the purposes of section 87G of FSMA 2000 situations where a significant new factor, material mistake or inaccuracy relating to the information included in the prospectus requires a supplement to the prospectus to be published(9).
31. To specify the electronic reporting format for annual financial reports published in accordance with an obligation imposed by virtue of section 89C(2) of FSMA 2000(10).
32. To specify the method of calculating any percentage threshold applying for the purposes of rule 5.1.3 of the Disclosure Guidance and Transparency Rules sourcebook(11).
33. To establish standard forms, templates and procedures to be used when—
(a)notifying required information to the issuer under transparency rules made by virtue of section 89B of FSMA 2000, or
(b)notifying the FCA under transparency rules made by virtue of section 89B of FSMA 2000(12).
34. To specify for the purposes of rule 5.3.3A of the Disclosure Guidance and Transparency Rules sourcebook—
(a)the method for calculating the number of voting rights in the case of financial instruments referenced to a basket of shares or an index, and
(b)the methods for determining delta for the purposes of calculating voting rights relating to financial instruments which provide exclusively for a cash settlement(13).
35. To specify the cases in which the exemptions laid down in rules 5.1.3, 5.4.1, 5.4.2 and 5.8.6 of the Disclosure Guidance and Transparency Rules sourcebook apply to financial instruments held by a person fulfilling orders received from clients or responding to a client’s request to trade otherwise than on a proprietary basis, or hedging positions arising out of such dealings(14).
(1)
This function is transferred from Article 4(3) of Directive 2003/71/EC.
(2)
This function is transferred from Article 5(2) of Directive 2003/71/EC.
(3)
This function is transferred from Article 7(4) of Directive 2003/71/EC.
(4)
This function is transferred from Article 8(5) of Directive 2003/71/EC.
(5)
This function is transferred from Article 11(3) of Directive 2003/71/EC.
(6)
This function is transferred from Article 13(7) of Directive 2003/71/EC.
(7)
This function is transferred from Article 14(8) of Directive 2003/71/EC.
(8)
This function is transferred from Article 15(7) of Directive 2003/71/EC.
(9)
This function is transferred from Article 16(3) of Directive 2003/71/EC.
(10)
This function is transferred from Article 4(7) of Directive 2004/109/EC.
(11)
This function is transferred from Article 9(6b) of Directive 2004/109/EC.
(12)
These functions are transferred from Articles 12(9) and 13(3) of Directive 2004/109/EC.
(13)
This function is transferred from Article 13(1a) of Directive 2004/109/EC.
(14)
This function is transferred from Article 13(4) of Directive 2004/109/EC.
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- How and to what extent new policies may impact on them; and,
- The estimated costs and benefits of proposed measures.
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