Financial Services and Markets Act 2000 (c. 8)

SCHEDULES

Valid from 01/07/2005

[F1 SCHEDULE 11A U.K. TRANSFERABLE SECURITIES

Textual Amendments

F1 Sch. 11A inserted (1.7.2005) by The Prospectus Regulations 2005 (S.I. 2005/1433), reg. 2(2), Sch. 2

PART 1 U.K.

1 U.K. Units (within the meaning in section 237(2)) in an open-ended collective investment scheme.

2 U.K. Non-equity transferable securities issued by

(a) the government of an EEA State;

(b) a local or regional authority of an EEA State;

(c) a public international body of which an EEA State is a member;

(d) the European Central Bank;

(e) the central bank of an EEA State.

3 U.K. Shares in the share capital of the central bank of an EEA State.

4 U.K. Transferable securities unconditionally and irrevocably guaranteed by the government, or a local or regional authority, of an EEA State.

5 (1) Non-equity transferable securities, issued in a continuous or repeated manner by a credit institution, which satisfy the conditions in sub-paragraph (2). U.K.

(2) The conditions are that the transferable securities—

(a) are not subordinated, convertible or exchangeable;

(b) do not give a right to subscribe to or acquire other types of securities and are not linked to a derivative instrument;

(c) materialise reception of repayable deposits; and

(d) are covered by a deposit guarantee under directive 94/19/EC of the European Parliament and of the Council on deposit-guarantee schemes.

6 U.K. Non-fungible shares of capital—

(a) the main purpose of which is to provide the holder with a right to occupy any immoveable property, and

(b) which cannot be sold without that right being given up.]