PART VIExempt Communications: Certain Controlled Activities

Material relating to prospectus for public offer of unlisted securities71

1

The financial promotion restriction does not apply to any non-real time communication relating to a prospectus or supplementary prospectus where the only reason for considering it to be an invitation or inducement is that it does one or more of the following—

a

it states the name and address of the person by whom the transferable securities to which the prospectus or supplementary prospectus relates are to be offered;

b

it gives other details for contacting that person;

c

it states the nature and the nominal value of the transferable securities to which the prospectus or supplementary prospectus relates, the number offered and the price at which they are offered;

d

it states that a prospectus or supplementary prospectus is or will be available (and, if it is not yet available, when it is expected to be);

e

it gives instructions for obtaining a copy of the prospectus or supplementary prospectus.

2

In this article—

a

“transferable securities” has F2the same meaning as in section 102A(3) of the ActF2the meaning given in regulation 4 of the Public Offers and Admissions to Trading Regulations 2024;

b

references to a prospectus or supplementary prospectus are references to a prospectus or supplementary prospectus which is published in accordance with F1prospectus rules made under Part VI of the ActF1regulated market admission rules.