FCA Handbook - Technical Standards

Technical standards modules

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Alternative Investment Fund Managers Directive

01/01/2021

Bank Recovery and Resolution Directive

01/01/2021

Benchmarks Regulation

01/01/2021

Capital Requirements Directive/Regulation

01/01/2021

Credit Ratings Agencies Regulation

01/11/2024

European Long-term Investment Funds Regulation

01/01/2024

European Market Infrastructure Regulation

29/05/2026

European Social Entrepreneurship Funds Regulation

01/01/2021

European Venture Capital Funds Regulation

01/01/2021

Financial Conglomerates Directive

01/01/2022

Fourth Money Laundering Directive

01/01/2021

Insurance Distribution Directive

06/04/2024

Market Abuse Regulation

30/09/2024

Markets in Financial Instruments Directive/Regulation

31/07/2026

Money Market Funds Regulation

01/01/2021

Packaged Retail and Insurance-based Investment Products Regulation

24/06/2022

Payment Accounts Directive

30/10/2024

Payment Services

19/03/2026

Payment Services Directive

01/01/2021

Prospectus Regulation

01/01/2021

2019 | Commission Delegated Regulation (EU) 2019/979

01/01/2021

Preamble

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CHAPTER I KEY FINANCIAL INFORMATION IN THE PROSPECTUS SUMMARY

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SECTION 1 Content of the key financial information in the prospectus summary

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Article 1 Minimum content of the key financial information in the summary of a prospectus

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Article 2 Key financial information for non-financial entities issuing equity securities

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Article 3 Key financial information for non-financial entities issuing non-equity securities

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Article 4 Key financial information for credit institutions

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Article 5 Key financial information for insurance companies

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Article 6 Key financial information for special purpose vehicles issuing asset backed securities

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Article 7 Key financial information for closed end funds

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Article 8 Key financial information for guarantors

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SECTION 2 Format of the key financial information in the prospectus summary

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Article 9 Format of the key financial information in the summary of a prospectus

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CHAPTER II PUBLICATION OF THE PROSPECTUS

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Article 10 Publication of the prospectus

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CHAPTER III MACHINE READABLE DATA FOR THE CLASSIFICATION OF PROSPECTUSES

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Article 11 Data for classification of prospectuses

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Article 12 Practical arrangements to ensure the machine readability of the data

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CHAPTER IV ADVERTISEMENTS

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Article 13 Identification of the prospectus

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Article 14 Required content

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Article 15 Dissemination of advertisements

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Article 16 Information concerning offers of securities

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Article 17 Procedure for the cooperation between competent authorities

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CHAPTER V SUPPLEMENTS TO THE PROSPECTUS

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Article 18 Publication of a supplement to the prospectus

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CHAPTER VI TECHNICAL ARRANGEMENTS FOR THE FUNCTIONING OF THE NOTIFICATION PORTAL

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Article 19 Upload of documents and accompanying data

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Article 20 Processing and notification of documents and accompanying data

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Article 21 Download of documents and accompanying data

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CHAPTER VII FINAL PROVISIONS

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Article 22 Repeal

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Article 22a Summaries of prospectuses approved between 21 July 2019 and 16 September 2020 for non-financial entities issuing equity securities

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Article 23 Entry into force

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Signature

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ANNEX I NON-FINANCIAL ENTITIES (EQUITY SECURITIES) Table 1 Income statement for non-financial entities (equity securities) Table 2 Balance sheet for non-financial entities (equity securities) Table 3 Cash flow statement for non-financial entities (equity securities)

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ANNEX II NON-FINANCIAL ENTITIES (NON-EQUITY SECURITIES) Income statement for non-equity securities Table 2 Balance sheet for non-equity securities Table 3 Cash flow statement for non-equity securities

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ANNEX III CREDIT INSTITUTIONS (EQUITY AND NON-EQUITY SECURITIES) Table 1 Income statement for credit institutions Table 2 Balance sheet for credit institutions

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ANNEX IV INSURANCE COMPANIES (EQUITY AND NON-EQUITY SECURITIES) Table 1 Income statement for insurance companies Table 2 Balance sheet for insurance companies

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ANNEX V SPECIAL PURPOSE VEHICLES ( SPVS ) ISSUING ASSET BACKED SECURITIES Table 1 Income statement for SPVs in relation to asset backed securities Table 2 Balance sheet for SPVs in relation to asset backed securities

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ANNEX VI CLOSED END FUNDS Table 1 Additional information relevant to closed end funds Table 2 Income statement for closed end funds Table 3 Balance sheet for closed end funds

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ANNEX VII MACHINE-READABLE DATA TO BE PROVIDED TO ESMA [deleted]

01/01/2021

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Securities Financing Transactions Regulation

01/01/2021

Securitisation Regulation

01/01/2021

Short Selling Regulation

01/01/2021

Transparency Directive

28/07/2023

Undertakings in Collective Investment Schemes Directive

01/01/2021