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Important Regulations

The marketing of private placements is governed by two principal pieces of legislation in the UK: The Financial Services and Markets Act 2000 (FSMA) and the Financial Services and Markets Act 2000 (Financial Promotion) Order 2005 (FPO). Also, in certain circumstances where there is an offer to the public, the Prospectus Regulations 2005 may apply subject to the available exemptions from the requirement to provide a prospectus available for private placements.

Links to the key sections of this legislation are available on the right of this page.

FSMA Section 21
Restrictions on financial promotion (legislation.gov.uk)
FSMA Section 86
Exempt offers to the public (legislation.gov.uk) and Exempt offers to the public (FCA Handbook)
FPO article 48
Certified high net worth individuals (legislation.gov.uk)
FPO article 50A
Self-certified sophisticated Investors (legislation.gov.uk)
Prospectus Regulations 2005
Prospectus Regulations 2005
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