UK and EU equity capital markets regulation (general)

This overview is a guide to the Corporate content within the UK and EU equity capital markets regulation—general subtopic, with links to the appropriate materials.

UK equity capital markets regulation

FSMA 2000

The Financial Services and Markets Act 2000 (FSMA 2000) provides the general framework for financial services legislation and regulation in the UK. It provides for a single regulator for the financial services industry, the Financial Conduct Authority (FCA). Further detailed financial services regulation is found in the FCA Handbook which contains rules made by the FCA under powers granted to it under FSMA 2000.

The parts of FSMA 2000 which are most relevant to equity capital markets regulation are:

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FSMA 2000, Pt II which sets out the general prohibition on unauthorised persons carrying out regulated activities in the UK and details of the financial promotion regime
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FSMA 2000, Pt VI which sets out the requirement for the FCA to maintain the Official List and details of the requirement to publish a prospectus in certain circumstances (the provisions relating to prospectuses were amended as a result of the

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