The Prospectus (Amendment etc.) (EU Exit) Regulations 2019
PART 1General
1Citation, commencement and interpretation
PART 2Amendments of FSMA
2Amendments of FSMA
3Matters which may be dealt with by prospectus rules
4Prohibition of dealing etc in transferable securities without approved prospectus
5Exempt offers to the public and admissions to trading
6Power of FCA to suspend or prohibit trading on a trading facility
7Reporting of infringements
8Publication of notices
9Publication of notices – prospectus regulation
PART 3Amendments of the 2019 Regulations
10Amendments of the 2019 Regulations
11Regulation 4
12Regulation 6
13Regulation 8
14Regulation 9
15Regulation 10
16Regulations 11 to 17
17Regulation 30
18Regulation 31
19Regulation 36
20Regulation 38
21Regulations 40 to 66
22Amendment of Commission Regulation (EC) No. 1569/2007
23Amendment of the transitional provision
24Revocation of Schedule 1
25Amendments of Schedule 2
PART 4Amendments of other secondary legislation
26Amendments of the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005
27Amendments of the Equivalence Determinations for Financial Services and Miscellaneous Provisions (Amendment etc) (EU Exit) Regulations 2019
28Amendment of the Financial Services and Markets Act 2000 (Amendment) (EU Exit) Regulations 2019
29Amendments of the Gibraltar (Miscellaneous Amendments) (EU Exit) Regulations 2019
30Amendment of the Financial Services and Markets Act 2000 (Prospectus) Regulations 2019
PART 5Amendments of retained European Union law
CHAPTER 1Amendments of the Prospectus Regulation
31Amendments of the Prospectus Regulation
32Subject matter, scope and exemptions
33Definitions
34Obligation to publish a prospectus and exemptions
35Voluntary prospectus
36The prospectus summary
37The base prospectus
38The universal registration document
39Prospectuses consisting of separate documents
40Responsibility attaching to the prospectus
41Minimum information and format
42Simplified disclosure regime for secondary issuers
43EU Growth prospectus
44Risk factors
45Final offer price and amount of securities
46Omission of information
47Incorporation by reference
48Scrutiny and approval of the prospectus
49Publication of the prospectus
50Advertisements
51Supplements to the prospectus
52Omission of Articles 24 to 27
53Third country issuers - prospectus drawn up in accordance with Regulation (EU) 2017/1129
54Third country issuers - prospectus drawn up in accordance with laws of a third country
55Cooperation with third countries
56Amendment of heading of Chapter 7
57Omission of Article 31
58Powers of competent authorities
59Omission of Articles 33 and 34
60Professional secrecy
61Data protection
62Omission of Articles 37 to 41
63Publication of decisions
64Omission of Article 43
65Amendment of heading of Chapter 9
66Omission of Articles 44 and 45 and insertion of Article 45a
67Omission of Articles 47 and 48
68Entry into force etc.
69Final provisions
70Annexes
CHAPTER 2Amendments of Commission Delegated Regulation (EU) 2019/980
71Amendments of Commission Delegated Regulation (EU) 2019/980
CHAPTER 3Amendments of Commission Regulation (EC) 1569/2007
72Amendments of Commission Regulation (EC) No. 1569/2007
CHAPTER 4Amendments of the EEA Agreement
73Amendments of EEA Agreement
PART 6Transitional provision
74Transitional provision for prospectuses notified under the Prospectus Regulation before IP completion day
75Transitional provision for registration documents and universal registration documents notified under the Prospectus Regulation before IP completion day
SCHEDULEAmendments of Annexes to Commission Delegated Regulation (EU) 2019/980
1In the List of Annexes, for each of the headings...
2(1) Annex 1 is amended as follows.
3(1) Annex 3 is amended as follows.
4(1) Annex 6 is amended as follows.
5(1) Annex 7 is amended as follows.
6In Annex 8, in item 10.2.1— (a) before “Directive” in...
7(1) Annex 9 is amended as follows.
8(1) Annex 11 is amended as follows.
9In Annex 12, in item 4.5, for “Member State” insert...
10(1) Annex 13 is amended as follows.
11(1) Annex 14 is amended as follows.
12(1) Annex 15 is amended as follows.
13(1) Annex 16 is amended as follows.
14In Annex 17, in item 2.2.2, in the 5th point...
15In Annex 18. in item 2.1, for “EU” substitute “...
16In Annex 19, in items 1.1 and 1.2, for “ESMA”...
17In Annex 22, omit item 1.4.
18(1) Annex 23 is amended as follows.
19(1) Annex 24 is amended as follows.
20(1) Annex 25 is amended as follows.
21(1) Annex 26 is amended as follows.
22(1) Annex 27 is amended as follows.
23In Annex 28, omit items 3, 4 and 5.

2019 No. 1234

Exiting The European Union
Financial Services And Markets

The Prospectus (Amendment etc.) (EU Exit) Regulations 2019

Made

Laid before Parliament

Coming into force in accordance with regulation 1

The Treasury make these Regulations in exercise of the powers conferred by section 8(1) of, and paragraph 21 of Schedule 7 to, the European Union (Withdrawal) Act 2018 M1.

The Treasury are of the opinion that, by reason of urgency, it is necessary to make these Regulations without a draft of the instrument being laid before, and approved by a resolution of, each House of Parliament M2.

Annotations:
Marginal Citations
M2

Paragraph 5(2) of Schedule 7 to the European Union (Withdrawal) Act 2018.