nothing may be admitted to the official list except in accordance with this Part; and

the Treasury may by order provide that anything which falls within a description or category specified in the order may not be admitted to the official list.

the requirements of listing rules (so far as they apply to the application), and

any other requirements imposed by F5the FCA in relation to the application,

before the end of the period of six months beginning with the date on which the application is received; or

if within that period F5the FCA has required the applicant to provide further information in connection with the application, before the end of the period of six months beginning with the date on which that information is provided.

immediately, if the notice under subsection (2) states that that is the case;

in any other case, on such date as may be specified in that notice.

proposes to discontinue or suspend the listing of securities, or

discontinues or suspends the listing of securities with immediate effect,

give details of the discontinuance or suspension;

state the F5FCA's reasons for the discontinuance or suspension and for choosing the date on which it took effect or takes effect;

inform the issuer of the securities that he may make representations to the F5FCA within such period as may be specified in the notice (whether or not he has referred the matter to the Tribunal);

inform him of the date on which the discontinuance or suspension took effect or will take effect; and

inform him of his right to refer the matter to the Tribunal.

to discontinue or suspend the listing of the securities, or

if the discontinuance or suspension has taken effect, not to cancel it,

not to discontinue or suspend the listing of the securities, or

if the discontinuance or suspension has taken effect, to cancel it,

the FCA has suspended the listing of securities on its own initiative, or securities have been suspended by the Bank of England under section 19, 39B or 48L of the Banking Act 2009, and

the FCA proposes to refuse an application by the issuer of the securities for the cancellation of the suspension,

if it decides to refuse the application, give the issuer of the securities a decision notice;

if it grants the application, give him written notice of its decision.

immediately, if the notification under subsection (2) so provides;

in any other case, on such date as may be provided for in that notification.

notify the issuer of the date on which the discontinuance or suspension took effect or will take effect, and

notify the issuer of such other matters (if any) as are specified in listing rules.

if it decides to refuse the application for the cancellation of the suspension, give the issuer of the securities a decision notice;

if it grants the application, give him written notice of its decision.

listing particulars have been submitted to, and approved by, the F5FCA and published; or

in such cases as may be specified by listing rules, such document (other than listing particulars or a prospectus of a kind required by listing rules) as may be so specified has been published.

the assets and liabilities, financial position, profits and losses, and prospects of the issuer of the securities; and

the rights attaching to the securities.

listing rules, or

the F5FCA,

within the knowledge of any person responsible for the listing particulars; or

which it would be reasonable for him to obtain by making enquiries.

the nature of the securities and their issuer;

the nature of the persons likely to consider acquiring them;

the fact that certain matters may reasonably be expected to be within the knowledge of professional advisers of a kind which persons likely to acquire the securities may reasonably be expected to consult; and

any information available to investors or their professional advisers as a result of requirements imposed on the issuer of the securities by a recognised investment exchange, by listing rules or by or under any other enactment.

a significant new matter arises, the inclusion of information in respect of which would have been so required if it had arisen when the particulars were prepared,

that its disclosure would be contrary to the public interest;

that its disclosure would be seriously detrimental to the issuer; or

in the case of securities of a kind specified in listing rules, that its disclosure is unnecessary for persons of the kind who may be expected normally to buy or deal in securities of that kind.

no authority may be granted under subsection (1)(b) in respect of essential information; and

no authority granted under subsection (1)(b) extends to any such information.

the required form and content of a prospectus F30...;

the cases in which a summary need not be included in a prospectus;

the languages which may be used in a prospectus F31...;

the determination of the persons responsible for a prospectus;

the manner in which applications to the F5FCA for the approval of a prospectus are to be made.

the period of validity of a prospectus;

the disclosure of the maximum price or of the criteria or conditions according to which the final offer price is to be determined, if that information is not contained in a prospectus;

the disclosure of the amount of the transferable securities which are to be offered to the public or of the criteria or conditions according to which that amount is to be determined, if that information is not contained in a prospectus;

the required form and content of other summary documents (including the languages which may be used in such a document);

the ways in which a prospectus that has been approved by the F5FCA may be made available to the public;

the disclosure, publication or other communication of such information as the F5FCA may reasonably stipulate;

the principles to be observed in relation to advertisements in connection with an offer of transferable securities to the public or admission of transferable securities to trading on a regulated market and the enforcement of those principles;

the suspension of trading in transferable securities where continued trading would be detrimental to the interests of investors;

the exercise of entitlements under Article 4 of the prospectus regulation, or elections under Article 2(m)(ii) or (iii) of the prospectus regulation as applied for the purposes of this Part by section 102C.

on summary conviction, to imprisonment for a term not exceeding 3 months or a fine not exceeding the statutory maximum or both;

on conviction on indictment, to imprisonment for a term not exceeding 2 years or a fine or both.

those listed in Article 1(2) of the prospectus regulation;

any offered in an offer falling within Article 1(3) of the prospectus regulation.

the offer falls within Article 1(4) of the prospectus regulation; or

the total consideration for the transferable securities being offered F46 in the EEA States cannot exceed F478,000,000 euros (or an equivalent amount). ; F48...

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

a person F51 (“the client”) who is not a qualified investor (as defined in the first sentence of Article 2(e) of the prospectus regulation) has engaged a qualified investor falling within F52 point (1) of Section I of Annex II to the markets in financial instruments directive to act as his agent, and

the terms on which the qualified investor is engaged enable him to make decisions concerning the acceptance of offers of transferable securities on the client's behalf without reference to the client,

trustees of a trust,

members of a partnership in their capacity as such, or

two or more persons jointly,

was open at any time within the period of 12 months ending with the date on which offer A is first made; and

had previously satisfied subsection (1)(e).

the United Kingdom is the home State in relation to the issuer of the transferable securities to which it relates,

the prospectus contains the F64information required by Article 6(1) or 14(2) of the prospectus regulation, and

all of the other requirements imposed by or in accordance with this Part F65, the prospectus regulation or prospectus rules have been complied with (so far as those requirements apply to a prospectus for the transferable securities in question).

the information required by Article 6(1) of the prospectus regulation, or

in a case within Article 14(1) of that regulation, the information required by Article 14(2) of that regulation.

specified documents or documents of a specified description, or

specified information or information of a specified description.

any information provided, whether in a document or otherwise, to be verified in such manner, or

any document produced to be authenticated in such manner,

give the F74FCA's reasons for refusing the application; and

inform the applicant of his right to refer the matter to the Tribunal.

the issuer of the transferable securities to which the prospectus relates, and

the person on whose application the prospectus was approved.

before receiving the application, it had imposed a prohibition or restriction under Article 42 of the markets in financial instruments regulation in relation to any financial activity or practice of the applicant;

in considering the application, it has decided to impose a prohibition or restriction under that Article in relation to the transferable securities to which the prospectus relates or any financial activity or practice of the applicant;

before receiving the application, it had found that a financial activity or practice of the applicant had contravened product intervention rules; or

in considering the application, it has decided that the approval of the prospectus would be likely to result in a contravention of product intervention rules.

where it suspended scrutiny of the prospectus on the ground specified in subsection (1)(c), when it is satisfied that the contravention of product intervention rules does not have, or no longer has, any bearing on the approval of the prospectus;

where it suspended scrutiny of the prospectus on the ground specified in subsection (1)(d), when it is satisfied that its approval of the prospectus would not result in a contravention of product intervention rules;

upon giving notice under section 87O(5) revoking its decision to suspend scrutiny of the prospectus;

where its decision to suspend scrutiny of the prospectus is quashed on a reference to the Tribunal or in other legal proceedings, on the date of the judgment of the Tribunal or of the court concerned.

any provision of this Part so far as relating to prospectuses;

any provision of prospectus rules;

any provision of the prospectus regulation;

any provision made in accordance with the prospectus regulation.

the FCA must give the person a decision notice;

the period starts with the date of the notice;

the person may refer that matter to the Tribunal; and

require the offeror to suspend the offer for a period not exceeding 10 working days;

require a person not to advertise the offer, or to take such steps as F101the FCA may specify to suspend any existing advertisement of the offer, for a period not exceeding 10 working days.

a provision of this Part,

a provision contained in prospectus rules,

any provision of, or made in accordance with, the prospectus regulation,

before the offer was made, the FCA had imposed a prohibition or restriction under Article 42 of the markets in financial instruments regulation in relation to any financial activity or practice of the offeror;

the FCA has decided to impose a prohibition or restriction under that Article in relation to the transferable securities to which the offer relates or any financial activity or practice of the offeror;

before the offer was made, the FCA had found that a financial activity or practice of the offeror had contravened product intervention rules; or

the FCA has decided that the offer, if not suspended or restricted, would be likely to result in a contravention of product intervention rules.

where it was imposed on the ground specified in subsection (6)(c), when the FCA notifies the offeror that it is satisfied that the contravention of product intervention rules does not have, or no longer has, any bearing on the transferable securities to which the offer relates;

where it was imposed on the ground specified in subsection (6)(d), when the FCA notifies the offeror that it is satisfied that the offer, if no longer suspended or restricted, would not result in a contravention of product intervention rules;

upon the FCA giving notice under section 87O(5) revoking its decision to impose the requirement;

where the FCA’s decision to impose the requirement is quashed on a reference to the Tribunal or in other legal proceedings, on the date of the judgment of the Tribunal or of the court concerned.

require the person requesting admission to suspend the request for a period not exceeding 10 working days;

require a person not to advertise the securities to which it relates, or to take such steps as F101the FCA may specify to suspend any existing advertisement in connection with those securities, for a period not exceeding 10 working days.

require the market operator to suspend trading in the securities for a period not exceeding 10 working days;

require a person not to advertise the securities, or to take such steps as the authority may specify to suspend any existing advertisement in connection with those securities, for a period not exceeding 10 working days.

a provision of this Part,

a provision contained in prospectus rules,

any provision of, or made in accordance with, the prospectus regulation,

before the request was made for the admission of the securities to trading on the regulated market in question (“the request”), the FCA had imposed a prohibition or restriction under Article 42 of the markets in financial instruments regulation in relation to any financial activity or practice of the person who made the request;

the FCA has decided to impose a prohibition or restriction under that Article in relation to the securities or any financial activity or practice of the person who made the request;

before the request was made, the FCA had found that a financial activity or practice of the person who made the request had contravened product intervention rules; or

the FCA has decided that the admission of the securities to trading on the regulated market in question, if not suspended or restricted, would be likely to result in a contravention of product intervention rules.

require the person who made the request to suspend or restrict the request;

require a person not to advertise the securities, or to take such steps as the FCA may specify to suspend any existing advertising in connection with the securities.

require the market operator to suspend or restrict trading in the securities;

require a person not to advertise the securities, or to take such steps as the FCA may specify to suspend any existing advertising in connection with the securities.

where it was imposed on the ground mentioned in subsection (6)(c), when the FCA notifies the person who made the request that it is satisfied that the contravention of product intervention rules does not have, or no longer has, any bearing on the securities;

where it was imposed on the ground mentioned in subsection (6)(d), when the FCA notifies the person who made the request that it is satisfied that the admission of the securities to trading on the regulated market in question, if no longer suspended or restricted, would not result in a contravention of product intervention rules;

upon the FCA giving notice under section 87O(5) revoking its decision to impose the requirement;

where the FCA’s decision to impose the requirement is quashed on a reference to the Tribunal or in other legal proceedings, on the date of the judgment of the Tribunal or of the court concerned.

the FCA has reasonable grounds for suspecting that an applicable provision has been infringed, and

the securities have not yet been traded on the trading facility in question,

the FCA has reasonable grounds for suspecting that an applicable provision has been infringed, and

the securities have been traded on the trading facility in question,

an issuer of transferable securities,

a person offering transferable securities to the public, or

a person requesting the admission of transferable securities to trading on a regulated market,

a provision of this Part,

a provision contained in prospectus rules,

any provision of, or made in accordance with, the prospectus regulation,

immediately, if the notice under subsection (2) states that that is the case;

in any other case, on such date as may be specified in that notice.

proposes to exercise the powers in section F11687JA, 87K, 87L or 87LA in relation to a person, or

exercises any of those powers in relation to a person with immediate effect,

give details of the F101FCA's action or proposed action;

state the F101FCA's reasons for taking the action in question and choosing the date on which it took effect or takes effect;

inform the recipient that he may make representations to the F101FCA within such period as may be specified by the notice (whether or not he has referred the matter to the Tribunal);

inform him of the date on which the action took effect or takes effect; and

inform him of his right to refer the matter to the Tribunal.

the competent authority of an EEA State other than the United Kingdom has approved a prospectus,

the transferable securities to which the prospectus relates have been offered to the public in the United Kingdom or their admission to trading on a regulated market has been requested, and

provide for the F122FCA to maintain a list of sponsors;

specify services which must be performed by a sponsor;

impose requirements on a sponsor in relation to the provision of services or specified services;

specify the circumstances in which a person is qualified for being approved as a sponsor.

provide for limitations or other restrictions to be imposed on the services to which an approval relates (whether or not the approval has already been granted);

provide for the approval of a sponsor to be suspended on the application of the sponsor.

to refuse a person’s application F124under sponsor rules,

to impose limitations or other restrictions on the services to which a person's approval relates, or

to cancel a person’s approval as a sponsor F126otherwise than at his request,

to grant the application F127under sponsor rules,

not to impose limitations or other restrictions on the services to which a person's approval relates, or

not to cancel the approval,

to refuse to grant the application F129under sponsor rules,

to impose limitations or other restrictions on the services to which a person's approval relates, or

to cancel the approval,

an application for approval as a sponsor,

an application for the suspension of an approval as a sponsor,

an application for the withdrawal of the suspension of an approval as a sponsor, or

an application for the withdrawal or variation of a limitation or other restriction on the services to which a sponsor's approval relates.

impose a penalty on the sponsor of such amount as it considers appropriate;

suspend, for such period as it considers appropriate, the sponsor's approval;

impose, for such period as it considers appropriate, such limitations or other restrictions in relation to the performance of services to which the sponsor's approval relates as it considers appropriate;

publish a statement to the effect that the sponsor has contravened a requirement or restriction imposed on the sponsor by rules made as a result of section 88(3)(c) or (e).

withdraw a suspension or restriction; or

vary a suspension or restriction so as to reduce the period for which it has effect or otherwise to limit its effect.

to suspend an approval, or

to impose a restriction in relation to the performance of a service,

the suspension of an approval, or

the imposition of a restriction in relation to the performance of a service,

the imposition of penalties, suspensions or restrictions under section 88A,

the amount of penalties under that section, and

the period for which suspensions or restrictions under that section are to have effect.

the seriousness of the contravention in question in relation to the nature of the requirement concerned,

the extent to which that contravention was deliberate or reckless, and

whether the sponsor concerned is an individual.

the representations made to it in accordance with subsection (2), and

its response to them.

suspend, for such period as it considers appropriate, the sponsor's approval, or

impose, for such period as it considers appropriate, such limitations or other restrictions in relation to the performance of services to which the sponsor's approval relates as it considers appropriate.

withdraw a suspension or restriction, or

vary a suspension or restriction so as to reduce the period for which it has effect or otherwise to limit its effect.

immediately, if the notice given under subsection (3) so provides, or

on such later date as may be specified in the notice.

proposes to take action against a sponsor under that section, or

takes action against a sponsor under that section with immediate effect,

give details of the action,

state the FCA's reasons for taking the action and for its determination as to when the action takes effect,

inform the sponsor that the sponsor may make representations to the FCA within such period as may be specified in the notice (whether or not the matter has been referred to the Tribunal),

inform the sponsor of when the action takes effect,

inform the sponsor of the right to refer the matter to the Tribunal, and

give an indication of the procedure on such a reference.

to take the action in the way proposed, or

if the action has taken effect, not to rescind it,

not to take the action in the way proposed,

to take action under section 88E that differs from the action originally proposed, or

to rescind action which has taken effect,

inform the sponsor of the right to refer the matter to the Tribunal, and

give an indication of the procedure on such a reference.

for the purpose of ensuring that voteholder information in respect of voting shares traded on a UK market other than a regulated market is made public or notified to the F134FCA;

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

specifying the circumstances in which, for the purposes of any determination of the voting rights held by a person (“P”) in respect of voting shares in an issuer, any voting rights held F136... by another person in respect of voting shares in the issuer are to be regarded as held by P;

specifying the nature of the information which must be included in any notification;

about the form of any notification;

requiring any notification to be given within a specified period;

specifying the manner in which any information is to be made public and the period within which it must be made public;

specifying circumstances in which any of the requirements imposed by rules under this section does not apply.

to the issuer, or

to the public,

initially, not later than such date as may be specified in the rules for the purposes of the first indent of Article 30.2 of the transparency obligations directive, and

subsequently, in accordance with the following provisions.

the total voting rights in respect of shares in the issuer, or

the total voting rights in respect of a particular class of share in the issuer,

from being a proportion less than a designated proportion to a proportion equal to or greater than that designated proportion,

from being a proportion equal to a designated proportion to a proportion greater or less than that designated proportion, or

from being a proportion greater than a designated proportion to a proportion equal to or less than that designated proportion.

to make public information to which this section applies, or

to notify to the F134FCA information to which this section applies,

information required by Article 4 of the transparency obligations directive;

information required by Article 6 of that directive; F138and

information relating to the rights attached to the transferable securities, including information about the terms and conditions of those securities which could indirectly affect those rights; F139...

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

information required by Article 5 of the transparency obligations directive;

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

information relating to the issuer's capital; and

information relating to the total number of voting rights in respect of shares or shares of a particular class.

initially, not later than such date as may be specified in the rules for the purposes of the second indent of Article 30.2 of the transparency obligations directive, and

subsequently, in accordance with the following provisions.

the total voting rights in respect of shares in the issuer, or

the total voting rights in respect of a particular class of share in the issuer,

from being a proportion less than a designated proportion to a proportion equal to or greater than that designated proportion,

from being a proportion equal to a designated proportion to a proportion greater or less than that designated proportion, or

from being a proportion greater than a designated proportion to a proportion equal to or less than that designated proportion.

the voting rights in respect of any voting shares are the voting rights attached to those shares, F143and

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

to provide specified information or information of a specified description, or

to produce specified documents or documents of a specified description.

an issuer in respect of whom transparency rules have effect;

a voteholder;

a person who controls a voteholder;

a person controlled by a voteholder;

a director or other similar officer of an issuer to whom this section applies;

a director or other similar officer of a voteholder or, where the affairs of a voteholder are managed by its members, a member of the voteholder.

before the end of such reasonable period as may be specified, and

at such place as may be specified.

any information provided, whether in a document or otherwise, to be verified in such manner as it may reasonably require;

any document produced to be authenticated in such manner as it may reasonably require.

take copies of or extracts from the document; or

require the person producing the document, or any relevant person, to provide an explanation of the document.

has been or is a director or controller of that person;

has been or is an auditor of that person;

has been or is an actuary, accountant or lawyer appointed or instructed by that person; or

has been or is an employee of that person.

A holds a majority of the voting rights in B,

A is a member of B and has the right to appoint or remove a majority of the members of the board of directors (or, if there is no such board, the equivalent management body) of B,

A is a member of B and controls alone, pursuant to an agreement with other shareholders or members, a majority of the voting rights in B, or

A has the right to exercise, or actually exercises, dominant influence or control over B.

any rights of a person controlled by A, and

any rights of a person acting on behalf of A or a person controlled by A,

a provision of transparency rules, or

any other provision made in accordance with the transparency obligations directive.

suspend trading in the securities for a period not exceeding 10 days,

prohibit trading in the securities, or

prohibit trading in the securities, or

make a request to the operator of the market on which the issuer's securities are traded to prohibit trading in the securities.

a provision contained in transparency rules, or

any other provision made in accordance with the transparency obligations directive.

immediately, if the notice under subsection (2) states that that is the case;

in any other case, on such date as may be specified in the notice.

proposes to exercise the powers in section 89L in relation to a person, or

exercises any of those powers in relation to a person with immediate effect,

give details of the F134FCA's action or proposed action;

state the F134FCA's reasons for taking the action in question and choosing the date on which it took effect or takes effect;

inform the recipient that he may make representations to the F134FCA within such period as may be specified by the notice (whether or not he had referred the matter to the Tribunal);

inform him of the date on which the action took effect or takes effect;

inform him of his right to refer the matter to the Tribunal (see section 89N) and give an indication of the procedure on such a reference.

that the person has contravened one or more relevant transparency provisions in respect of any of the shares identified in the application or any other shares in the same company which are admitted to trading on a regulated market, and

that the contravention is serious enough to make it appropriate to make the order.

whether the contravention was deliberate or repeated;

the time taken for the contravention to be remedied;

whether the voteholder ignored warnings or requests for compliance from the FCA;

the size of the holding of shares to which the contravention relates;

any impact of the contravention on the integrity of the UK financial system;

the effect of the contravention on any company merger or takeover.

on the date specified in the order, or

if no date is specified, at the time it is made.

a variation of the order so as to alter the period for which it has effect or the shares in relation to which it has effect, or

the discharge of the order.

a person who is a PRA-authorised person, or

shares issued by a PRA-authorised person.

in England and Wales and Northern Ireland, by the High Court, and

in Scotland, by the Court of Session.

for the purpose of implementing, enabling the implementation of or dealing with matters arising out of or related to, any F154EU obligation relating to the corporate governance of issuers who have requested or approved admission of their securities to trading on a regulated market;

about corporate governance in relation to such issuers for the purpose of implementing, or dealing with matters arising out of or related to, any F154EU obligation.

the nature, constitution or functions of the organs of the issuer;

the manner in which organs of the issuer conduct themselves;

the requirements imposed on organs of the issuer;

the relationship between the different organs of the issuer;

the relationship between the organs of the issuer and the members of the issuer or holders of the issuer's securities.

rules under this section, and

listing rules.

provide for the FCA to maintain a list of providers;

impose requirements on a provider in relation to the giving of information or of information of a specified description;

specify the circumstances in which a person is qualified for being approved as a provider;

provide for limitations or other restrictions to be imposed on the giving of information to which an approval relates (whether or not the approval has already been granted);

provide for the approval of a provider to be suspended on the application of the provider.

to refuse a person's application under information provider rules,

to impose limitations or other restrictions on the giving of information to which a person's approval relates, or

to cancel a person's approval as a provider otherwise than at the person's request,

to grant the application under information provider rules,

not to impose limitations or other restrictions on the giving of information to which a person's approval relates, or

not to cancel the approval,

to refuse to grant the application under information provider rules,

to impose limitations or other restrictions on the giving of information to which a person's approval relates, or

to cancel the approval,

an application for approval as a provider,

an application for the suspension of an approval as a provider,

an application for the withdrawal of the suspension of an approval as a provider, or

an application for the withdrawal or variation of a limitation or other restriction on the giving of information to which a provider's approval relates.

impose a penalty on the provider of such amount as it considers appropriate;

suspend, for such period as it considers appropriate, the provider's approval;

impose, for such period as it considers appropriate, such limitations or other restrictions in relation to the giving by the provider of information as it considers appropriate;

publish a statement to the effect that the provider has contravened a requirement or restriction imposed on the provider by rules made as a result of section 89P(4)(b) or (d).

withdraw a suspension or restriction, or

vary a suspension or restriction so as to reduce the period for which it has effect or otherwise to limit its effect.

to suspend an approval, or

to impose a restriction in relation to the giving of information,

the suspension of an approval, or

the imposition of a restriction in relation to the giving of information,

the imposition of penalties, suspensions or restrictions under section 89Q,

the amount of penalties under that section,

the period for which suspensions or restrictions under that section are to have effect, and

the matters in relation to which suspensions or restrictions under that section are to have effect.

the seriousness of the contravention in question in relation to the nature of the requirement concerned,

the extent to which that contravention was deliberate or reckless, and

whether the provider concerned is an individual.

the representations made to it in accordance with subsection (2); and

its response to them.

suspend, for such period as it considers appropriate, the provider's approval, or

impose, for such period as it considers appropriate, such limitations or other restrictions in relation to the giving by the provider of information as it considers appropriate.

withdraw a suspension or restriction, or

vary a suspension or restriction so as to reduce the period for which it has effect or otherwise to limit its effect.

immediately, if the notice given under subsection (2) so provides, or

on such later date as may be specified in the notice.

proposes to take action against a provider under that section, or

takes action against a provider under that section with immediate effect,

give details of the action,

state the FCA's reasons for taking the action and for its determination as to when the action takes effect,

inform the provider that the provider may make representations to the FCA within such period as may be specified in the notice (whether or not the matter has been referred to the Tribunal),

inform the provider of when the action takes effect,

inform the provider of the right to refer the matter to the Tribunal, and

give an indication of the procedure on such a reference.

to take the action in the way proposed, or

if the action has taken effect, not to rescind it,

not to take the action in the way proposed,

to take action under section 89U that differs from the action originally proposed, or

to rescind action which has taken effect,

inform the provider of the right to refer the matter to the Tribunal, and

give an indication of the procedure on such a reference.

acquired securities to which the particulars apply; and

acquired securities of the kind in question; and

suffered loss in respect of them as a result of the failure.

if he were responsible for those particulars; or

if he is responsible for them, which he is entitled to omit by virtue of section 82.

references in this section or in Schedule 10 to listing particulars, supplementary listing particulars or sections 80, 81 or 82 are to be read, respectively, as references to a prospectus, supplementary prospectus and F160Articles 6 and 14(2), Article 23 and Article 18 of the prospectus regulation;

references in Schedule 10 to admission to the official list are to be read as references to admission to trading on a regulated market;

in relation to a prospectus, “ securities ” means “transferable securities”.

is misleading, inaccurate or inconsistent; or

does not provide key information F163specified by Article 7 of the prospectus regulation,

the collective investment scheme provides arrangements for separate pooling of the contributions of the participants and the profits and income out of which payments are made to them; and

the participants are entitled to exchange rights in one pool for rights in another.

an issuer of listed securities, or

an applicant for listing,

an issuer of transferable securities,

a person offering transferable securities to the public or requesting their admission to trading on a regulated market,

an applicant for the approval of a prospectus in relation to transferable securities,

a person on whom a requirement has been imposed under section 87K or 87L, or

any other person to whom F173any provision of, or made in accordance with, the prospectus regulation applies,

has contravened a provision of this Part or of prospectus rules, or a provision F174of or made in accordance with the F175prospectus regulation, or a requirement imposed on him under such a provision, it may impose on him a penalty of such amount as it considers appropriate.

that a person on whom a requirement has been imposed under section 89L (power to suspend or prohibit trading of securities in case of infringement of applicable transparency obligation), has contravened that requirement,

a person has contravened a provision mentioned in subsection (1B)(a)(i), and

the FCA considers that another person (“A”), who was at the material time a relevant officer of the person, was knowingly concerned in the contravention,

a director or other similar officer of the person, or

if the affairs of the person are managed by its members, a member of the person.

the F134FCA is to be treated as knowing of a contravention if it has information from which the contravention can reasonably be inferred; and

proceedings against a person in respect of a contravention are to be treated as begun when a warning notice is given to him under section 92.

the imposition of penalties under section 91; and

the amount of penalties under that section.

the seriousness of the contravention in question in relation to the nature of the requirement contravened;

the extent to which that contravention was deliberate or reckless; and

whether the person on whom the penalty is to be imposed is an individual.