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)
Introductory Text
CHAPTER I GENERAL PROVISIONS
Article 1.Subject matter, scope and exemptions
Article 2.Definitions
Article 3.Obligation to publish a prospectus and exemption
Article 4.Voluntary prospectus
Article 5.Subsequent resale of securities
CHAPTER II DRAWING UP OF THE PROSPECTUS
Article 6.The prospectus
Article 7.The prospectus summary
Article 8.The base prospectus
Article 9.The universal registration document
Article 10.Prospectuses consisting of separate documents
Article 11.Responsibility attaching to the prospectus
Article 12.Validity of a prospectus, registration document and universal registration document
CHAPTER III THE CONTENT AND FORMAT OF THE PROSPECTUS
Article 13.Minimum information and format
Article 14.Simplified disclosure regime for secondary issuances
Article 15.UK Growth prospectus
Article 16.Risk factors
Article 17.Final offer price and amount of securities
Article 18.Omission of information
Article 19.Incorporation by reference
CHAPTER IV ARRANGEMENTS FOR APPROVAL AND PUBLICATION OF THE PROSPECTUS
Article 20.Scrutiny and approval of the prospectus
Article 21.Publication of the prospectus
Article 22.Advertisements
Article 23.Supplements to the prospectus
CHAPTER V CROSS-BORDER OFFERS AND ADMISSIONS TO TRADING ON A REGULATED MARKET AND USE OF LANGUAGES
Article 24.Union scope of approvals of prospectuses
Article 25.Notification of prospectuses and supplements and communication of final terms
Article 26.Notification of registration documents or universal registration documents
Article 27.Use of language
CHAPTER VI SPECIFIC RULES IN RELATION TO ISSUERS ESTABLISHED IN THIRD COUNTRIES
Article 28.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
Article 29.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
Article 30.Cooperation with third countries
CHAPTER VII THE COMPETENT AUTHORITY
Article 31.Competent authorities
Article 32.Powers of the competent authority
Article 33.Cooperation between competent authorities
Article 34.Cooperation with ESMA
Article 35.Professional secrecy
Article 36.Data protection
Article 37.Precautionary measures
CHAPTER VIII ADMINISTRATIVE SANCTIONS AND OTHER ADMINISTRATIVE MEASURES
Article 38.Administrative sanctions and other administrative measures
Article 39.Exercise of supervisory powers and powers to impose sanctions
Article 40.Right of appeal
Article 41.Reporting of infringements
Article 42.Publication of decisions
Article 43.Reporting sanctions to ESMA
CHAPTER IX TREASURY REGULATIONS
Article 44.Exercise of the delegation
Article 45.Committee procedure
Article 45a.Treasury regulations
CHAPTER X FINAL PROVISIONS
Article 46.Repeal
Article 47.ESMA report on prospectuses
Article 48.Review
Article 49.Entry into force and application
Signature
ANNEX I
PROSPECTUS
I. Summary
II. Identity of directors, senior management, advisers and auditors
III. Offer statistics and expected timetable
IV. Essential information
V. Information on the company
VI. Operating and financial review and prospects
VII. Directors, senior management and employees
VIII. Major shareholders and related-party transactions
IX. Financial information
X. Details of the offer and admission to trading details
XI. Additional information
ANNEX II
REGISTRATION DOCUMENT
I. Identity of directors, senior management, advisers and auditors
II. Essential information about the issuer
III. Information on the company
IV. Operating and financial review and prospects
V. Directors, senior management and employees
VI. Major shareholders and related-party transactions
VII. Financial information
VIII. Additional information
ANNEX III
SECURITIES NOTE
I. Identity of directors, senior management, advisers and auditors
II. Offer statistics and expected timetable
III. Essential information about the issuer
IV. Essential information about the securities
V. Interests of experts
VI. Details of the offer and admission to trading
VII. Additional information
ANNEX IV
REGISTRATION DOCUMENT FOR THE UK GROWTH PROSPECTUS
I. Responsibility for the registration document
II. Strategy, performance and business environment
III. Corporate governance
IV. Financial statements and key performance indicators
V. Operating and financial review (only for equity securities issued by...
VI. Shareholders’ information
ANNEX V
SECURITIES NOTE FOR THE UK GROWTH PROSPECTUS
I. Responsibility for the securities note
II. Statement of capitalisation and indebtedness (only for equity securities issued...
III. Terms and conditions of the securities
IV. Details of the offer and expected timetable
V. Information on the guarantor
ANNEX VI