Jurisdiction(s):
United Kingdom

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Archived: UK FCA Prospectus Rules tracker—prospectus publication, approval and content; legislative updates 2005–2019; superseded by Prospectus Regulation Rules

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Practice notes

Last updated July 2019 ARCHIVED — On 21 July 2019, the prospectus regulation rules Instrument 2019 took effect, removing the prospectus rules and substituting them with the Prospectus Regulations Rules. For more, see: Prospectus Regulation Rules tracker

Tracker overview

This Prospectus Rules (PR) tracker outlines recent and anticipated legislative and regulatory moves, alongside the latest updates affecting the PRs and material on prospectus publication requirements, the approval process and what a prospectus must contain. It also brings together consultation papers, policy statements, practical guidance and notices issued by the Financial Conduct Authority (FCA) (the successor to the Financial Services Authority (FSA)).

Recent and future developments (2011 onwards)

21/07/2019 — FCA — Prospectus Regulation Rules Instrument 2019 (the Instrument): The Instrument commenced, removing provisions in the PR sourcebook, which are now replaced by those set out in the Prospectus Regulations Rules
31/05/2019 — FCA — CP19/6: Changes to align the FCA Handbook with the EU Prospectus Regulation; PS19/12: Changes to align the FCA Handbook with the EU Prospectus Regulation: feedback to CP19/6 — Prospectus...

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Web page updated on 21/05/2026

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