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The Financial Services Act 2021 (Prudential Regulation of Credit Institutions and Investment Firms) (Consequential Amendments and Miscellaneous Provisions) Regulations 2021
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- UK Statutory Instruments
- 2021 No. 1376
- PART 4
- Regulation 28
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Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market
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28.—(1) Regulation (EU) 2017/1129 of the European Parliament and of the Council of 14 June 2017 on the prospectus to be published when securities are offered to the public or admitted to trading on a regulated market and repealing Directive 2003/71/EC(1) is amended as follows.
(2) In Article 1(5) (subject matter, scope and exemptions), in the second subparagraph, after point (c) insert—
“(ca)where the shares of an FCA investment firm result from the conversion of one class of instrument into another class of instrument because of rules made by the FCA under Part 9C of FSMA;”.
(3) In Article 2 (definitions), after point (zf) insert—
“(zg)‘FCA investment firm’ has the meaning given in section 143A(1) of FSMA;”.
(1)
EUR 2017/1129, as amended by S.I. 2019/107 and 2020/628.
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