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PART 2 Amendments of primary legislation
CHAPTER 1 The Financial Services and Markets Act 2000
7.Prohibition of dealing etc in transferable securities without approved prospectus
16.Power to suspend or prohibit admission to trading on a regulated market
21.Provision of information by issuers of transferable securities
31.Appointment by FCA of persons to carry out investigations
34.Meaning of “offer of transferable securities to the public” etc.
37.Liability of issuers in connection with published information
38.Transferable securities excluded from certain provisions of section 85 of FSMA 2000
PART 3 Amendments of EU Regulations and EU Decision
CHAPTER 1 Amendments of Commission Regulation (EC) No. 809/2004
43.Categories of information in the base prospectus and the final terms
46.Share registration document in cases of complex financial history or significant financial commitment
51.Additional information building block on the underlying share
52.Registration document schedule for collective investment undertakings of closed-end type
53.Registration document schedule for States and regional and local authorities
54.Additional building block for consent given in accordance with Article 3(2) of Directive 2003/71/EC
55.Minimum information to be included in a base prospectus and its related final terms
56.Adaptations to minimum information given in prospectuses and base prospectuses
61.Proportionate schedules for small and medium-sized enterprises etc.
62.Proportionate requirements for issues by certain credit institutions
CHAPTER 2 Amendments of other EU Regulations and of EU Decision
PART 4 Transfer of directive functions to the Treasury or the FCA
Amendments of Annexes to Commission Regulation (EC) No 809/2004
Transfer of functions to the Treasury and the FCA
PART 2 Directive functions transferred to the Treasury
2.The following purposes are specified for the purposes of regulation...
3.In order to take account of developments on financial markets,...
4.In order to take account of developments on financial markets,...
5.In order to take account of developments on financial markets,...
6.In order to take account of developments on financial markets,...
7.To make provision about the specific information which must be...
8.In order to take account of developments on financial markets,...
9.To establish general equivalence criteria for the purposes of rule...
10.To establish for the purposes of transparency rules an indicative...
11.In order to take account of developments on financial markets,...
12.In order to take account of developments on financial markets,...
13.In order to take account of developments on financial markets,...
14.In order to take account of developments on financial markets,...
15.To clarify the conditions of independence to be complied with...
16.To specify the contents of the notification to be made,...
17.In order to take account of developments on financial markets,...
18.In order to take account of developments on financial markets...
19.To specify the minimum standards for— (a) the dissemination of...
20.To establish general criteria for the purposes of section 89A(4A)...
PART 3 Directive functions transferred to FCA
21.The following purposes are specified for the purposes of regulation...
22.To make provision about the exemptions from the obligation to...
23.To specify a uniform template for presentation of any summary...
24.To ensure uniform application of the requirements imposed under section...
25.To ensure uniform application of the provisions authorising the omission...
26.To specify the information that may be incorporated in the...
27.To specify the procedures for the approval of the prospectus...
28.To specify the provisions relating to the publication of the...
29.To specify the provisions concerning the dissemination of advertisements announcing...
31.To specify the electronic reporting format for annual financial reports...
32.To specify the method of calculating any percentage threshold applying...
33.To establish standard forms, templates and procedures to be used...
35.To specify the cases in which the exemptions laid down...
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