PART VIExempt Communications: Certain Controlled Activities

Promotions included in listing particulars etc.70

1

The financial promotion restriction does not apply to any non-real time communication which is included in—

a

listing particulars;

b

supplementary listing particulars;

F1c

a prospectus or supplementary prospectus approved—

i

by the F3FCA in accordance with Part 6 of the Act; or

ii

by the competent authority of an EEA State other than the United Kingdom, provided the requirements of section 87H of the Act have been met,

or part of such a prospectus or supplementary prospectus; or

d

any other document required or permitted to be published by listing rules or prospectus rules under Part VI of the Act (except an advertisement within the meaning of the prospectus directive).

F21A

The financial promotion restriction does not apply to any non-real time communication—

a

comprising the final terms of an offer or the final offer price or amount of securities which will be offered to the public; and

b

complying with Articles 5(4), 8(1) and 14(2) of the prospectus directive.

2

In this article “listing particulars”, “listing rules”, “the prospectus directive” and “prospectus rules” have the meaning given by Part VI of the Act.