Jurisdiction(s):
United Kingdom

Related legal acts

Key definition

Prospectus definition

What does Prospectus mean? In capital markets practice, a prospectus is the document given to potential investors describing the securities on offer or to be admitted to trading and the issuer (and any guarantor), so investors can make an informed assessment. In the UK and Ireland it is a defined concept under the prospectus regime (UK onshored Prospectus Regulation and FCA rules; EU Prospectus Regulation (2017/1129) and Central Bank of Ireland rules). It generally requires prior approval by the competent authority (FCA in the UK; CBI in Ireland), unless an exemption applies (for example, qualified investors only or high minimum denominations). Key features include: prescribed...

Archived: PR App 3 Annex I resource—share registration document disclosure under former UK Prospectus Rules, with FCA/ESMA guidance and ongoing relevance under UK Prospectus Regulation (including Brexit impacts).

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Practice notes

ARCHIVED:

This Practice Note has been archived and is not maintained. Last updated July 2019.

On 21 July 2019, the prospectus Regulation (EU) 2017/1129 came fully into force across EU member states, and the prospectus directive was repealed. The Regulation now determines when a prospectus must be published for an offer of securities to the public in the UK, or for the admission of securities to trading on a regulated market in the UK.

To implement this, the FCA aligned the fca handbook by removing the Prospectus Rules in their entirety and substituting the Prospectus Regulation Rules sourcebook.

For more details, see Practice Note: The UK Prospectus Regulation—essentials [Archived] and The UK Prospectus Regulation—is a prospectus required? [Archived].

This note, together with related notes on the now repealed Prospectus Rules, has been preserved for reference, as its commentary may still apply to corresponding provisions within the Prospectus Regulation Rules (PRR).

This Resource Note points to relevant commentary, analysis and resources to support interpretation and offer practical guidance on the application of Annex I of Appendix 3 of the former Prospectus Rules (PR App 3, Annex I)...

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