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Regulation (EU) 2017/1129 of the European Parliament and of the CouncilShow full title
Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market, and repealing Directive 2003/71/EC (Text with EEA relevance)
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- Revised 31/12/20190.66 MB
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Changes over time for: ANNEX IV
Changes to legislation:
Regulation (EU) 2017/1129 of the European Parliament and of the Council, ANNEX IV is up to date with all changes known to be in force on or before 15 November 2024. There are changes that may be brought into force at a future date. Changes that have been made appear in the content and are referenced with annotations.
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Changes and effects yet to be applied to Annex IV:
- Regulation revoked by 2023 c. 29 Sch. 1 Pt. 1
Changes and effects yet to be applied to the whole legislation item and associated provisions
- Art. 1(5)(j)(v) words omitted by S.I. 2019/1234 reg. 32(5) (This amendment not applied to legislation.gov.uk. Reg. 32(5) substituted immediately before IP completion day by S.I. 2020/628, regs. 1(3), 17(3)(b))
ANNEX IVU.K.REGISTRATION DOCUMENT FOR THE [F1UK GROWTH] PROSPECTUS
Textual Amendments
F1Words in Annex 4 heading substituted (31.12.2020) by The Prospectus (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/1234), regs. 1(4), 70(3)(a) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2019/1234, reg. 29(2))); 2020 c. 1, Sch. 5 para. 1(1)
I.Responsibility for the registration documentU.K.
The purpose is to identify the issuer and its representatives and other individuals involved in the company’s offer; these are the persons responsible for drawing up the registration document.
II.Strategy, performance and business environmentU.K.
The purpose is to inform about the company’s strategy and objectives related to development and future performance and to provide information about the company’s business operations, the products it makes or the services it provides, its investments and the factors which affect the business. Furthermore, the risk factors specific to the company and relevant trend information must be included.
III.Corporate governanceU.K.
The purpose is to provide information concerning the company’s directors and managers that will allow investors to assess their experience, qualifications and levels of remuneration, as well as their relationship with the company.
IV.Financial statements and key performance indicatorsU.K.
The purpose is to specify which financial statements and key performance indicators must be included in the document covering the two latest financial years (for equity securities) or the last financial year (for non-equity securities) or such shorter period during which the issuer has been in operation.
V.Operating and financial review (only for equity securities issued by companies with market capitalisation above EUR 200 000 000).U.K.
The purpose is to provide information about the financial condition and operating results if the reports, presented and prepared in accordance with [F2rules 4.1.8 and 4.1.11 of the Disclosure Guidance and Transparency Rules Sourcebook] for the periods covered by the historical financial information, are not included in the [F3UK Growth] prospectus.
Textual Amendments
F2Words in Annex 4 Point 5 substituted (31.12.2020) by The Prospectus (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/1234), regs. 1(4), 70(3)(b)(i) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2019/1234, reg. 29(2))); 2020 c. 1, Sch. 5 para. 1(1)
F3Words in Annex 4 Point 5 substituted (31.12.2020) by The Prospectus (Amendment etc.) (EU Exit) Regulations 2019 (S.I. 2019/1234), regs. 1(4), 70(3)(b)(ii) (with savings in S.I. 2019/680, reg. 11 (as amended by S.I. 2019/1234, reg. 29(2))); 2020 c. 1, Sch. 5 para. 1(1)
VI.Shareholders’ informationU.K.
The purpose is to provide information about legal and arbitration proceedings, conflicts of interest and related-party transactions as well as information on the share capital.
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