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 UK guidance on Annex II (pro forma financial information) of the former Prospectus Rules and its relevance under the Prospectus Regulation/PRR

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Practice notes

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ARCHIVED: This Practice Note is archived and no longer maintained. Last revised July 2019. From 21 July 2019, the prospectus Regulation (EU) 2017/1129 applied in full across EU member states and the prospectus directive was revoked. The Prospectus 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. The FCA brought the fca handbook into line with the Prospectus Regulation by removing the Prospectus Rules in their entirety and substituting the Prospectus Regulation Rules sourcebook. For further details see Practice Note: The UK Prospectus Regulation—essentials [Archived] and The UK Prospectus Regulation—is a prospectus required? [Archived]. This note, and related notes concerning the now repealed Prospectus Rules, have been kept for reference because the commentary may remain relevant to equivalent provisions within the Prospectus Regulation Rules (PRR). This Resource Note signposts pertinent commentary, analysis and materials to aid interpretation of, and offer practical guidance on the application of, Annex II of Appendix 3 to the former Prospectus Rules (PR App 3, Annex II), addressing interpretation and practical application under that framework in context where relevant

Materials

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Web page updated on 21/05/2026

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