Current Prospectus Rules cross-reference lists

The cross-reference lists are for issuers to show the FCA how they have complied with the applicable disclosure requirements when submitting documents for FCA approval under the Prospectus Rules.

If you need help see our instructions[1].

Make sure you use the latest version of the cross-reference lists or checklists as we do update them.

Find cross-reference lists for submissions to be approved on or after 21 July 2019[2] 

Find cross-reference lists for:

Prospectuses

Alternative cross-reference lists for prospectuses to be published under the proportionate disclosure regime

Prospectuses

For issuers preparing a prospectus under the Prospectus Rules[3] for approval by the FCA.

Prospectus Rules Annex

Prospectus cross-reference list description

Version date

Annex I[4]

Minimum Disclosure Requirements for the Share Registration Document (schedule)

Mar 2016

Annex II[5]

Pro forma financial information building block

Mar 2016

Annex III[6]

Minimum Disclosure Requirements for the Share Securities Note (schedule)

Mar 2016

Annex IV[7]

Minimum Disclosure Requirements for the Debt and Derivative Securities Registration Document (schedule)
(Debt and derivative securities with a denomination per unit of less than EUR 100,000)

Mar 2016

Annex V[8]

Minimum Disclosure Requirements for the Securities Note related to Debt securities (schedule)
(Debt securities with a denomination per unit of less than EUR 100,000)

Mar 2016

Annex VI[9]

Minimum Disclosure Requirements for Guarantees
(Additional building block)

Mar 2016

Annex VII[10]

Minimum Disclosure Requirements for Asset Backed Securities Registration Document (schedule)

Mar 2016

Annex VIII[11]

Minimum Disclosure Requirements for the Asset Backed Securities Building Block

Mar 2016

Annex IX[12]

Minimum Disclosure Requirements for the Debt and Derivative securities Registration Document (schedule)
(Debt and derivative securities with a denomination per unit of at least EUR 100,000)

Mar 2016

Annex X[13]

Minimum Disclosure Requirements for the Depository Receipts issued over shares (schedule)

Mar 2016

Annex XI[14]

Minimum Disclosure Requirements for the Banks Registration Document (schedule)

Mar 2016

Annex XII[15]

Minimum Disclosure Requirements for the Securities Note for Derivative securities (schedule)

Mar 2016

Annex XIII[16]

Minimum Disclosure Requirements for the Securities Note for Debt securities with a denomination per unit of at least EUR 100,000

Mar 2016

Annex XIV[17]

Additional information building block on underlying share for some equity securities

Mar 2016

Annex XV[18]

Minimum Disclosure Requirements for the registration document for securities issued by collective investment undertakings of the closed-end type (schedule)

Mar 2016

Annex XVI[19]

Minimum Disclosure Requirements for the Registration Document for securities issued by Member States, third countries and their regional and local authorities (schedule)

Mar 2016

Annex XVII[20]

Minimum Disclosure Requirements for the Registration Document for securities issued by Public International Bodies and for the debt securities guaranteed by a member state of the OECD (schedule)

Mar 2016

Annex XX
(Annex V)[21]

Base Prospectus - Minimum Disclosure Requirements for the Securities Note related to Debt securities with a denomination per unit of less than EUR 100,000

Mar 2016

Annex XX
(Annex VIII)[22]

Base Prospectus - Minimum Disclosure Requirements for the Asset Backed Securities Building Block

Mar 2016

Annex XX
(Annex XII)[23]

Base Prospectus - Minimum Disclosure Requirements for the Securities Note for Derivative securities

Mar 2016

Annex XX
(Annex XIII)[24]

Base Prospectus - Minimum Disclosure Requirements for the Securities Note for Debt securities with a denomination per unit of at least EUR 100,000

Mar 2016

Annex XX
(Annex XIV)[25]

Base Prospectus - Additional information building block on underlying share for some equity securities

Mar 2016

Annex XX
(Annex XXX)[26]

Additional information regarding consent

Mar 2016

Annex XXI
(Annex I)[27]

Base Prospectus - List of additional information in final terms

Mar 2016

Annex XXII
(Annex I)[28]

Disclosure Requirements in Summaries – Annex I

Mar 2016

Annex XXII
(Annex II)[29]

Disclosure Requirements in Summaries – Annex II

Mar 2016

Annex XXII
(Annex III)[30]

Disclosure Requirements in Summaries – Annex III

Mar 2016

Annex XXII
(Annex IV)[31]

Disclosure Requirements in Summaries – Annex IV

Mar 2016

Annex XXII
(Annex V)[32]

Disclosure Requirements in Summaries – Annex V

Mar 2016

Annex XXII
(Annex VI)[33]

Disclosure Requirements in Summaries – Annex VI

Mar 2016

Annex XXII
(Annex VII)[34]

Disclosure Requirements in Summaries – Annex VII

Mar 2016

Annex XXII
(Annex VIII)[35]

Disclosure Requirements in Summaries – Annex VIII

Mar 2016

Annex XXII
(Annex IX)[36]

Disclosure Requirements in Summaries – Annex IX

Mar 2016

Annex XXII
(Annex X)[37]

Disclosure Requirements in Summaries – Annex X

Mar 2016

Annex XXII
(Annex XI)[38]

Disclosure Requirements in Summaries – Annex XI

Mar 2016

Annex XXII
(Annex XII)[39]

Disclosure Requirements in Summaries – Annex XII

Mar 2016

Annex XXII
(Annex XIII)[40]

Disclosure Requirements in Summaries – Annex XIII

Mar 2016

Annex XXII
(Annex XIV)[41]

Disclosure Requirements in Summaries – Annex XIV

Mar 2016

Annex XXII
(Annex XV)[42]

Disclosure Requirements in Summaries – Annex XV

Mar 2016

Annex XXII
(Annex XVI)[43]

Disclosure Requirements in Summaries – Annex XVI

Mar 2016

Annex XXII
(Annex XVII)[44]

Disclosure Requirements in Summaries – Annex XVII

Mar 2016

Annex XXX[45]

Additional information regarding consent as referred to in Article 20a building block (draft Commission Delegated Regulation of 4.6.2012)

Mar 2016

Alternative cross-reference lists for prospectuses to be published under the proportionate disclosure regime

For issuers preparing a prospectus under the Prospectus Rules’ proportionate disclosure regime for approval by the FCA.

Prospectus Rules Annex

Prospectus cross-reference list description

Version date

Annex XXIII[46]

Proportionate Schedule for Minimum Disclosure Requirements for the Share Registration Document for Rights Issues

Mar 2016

Annex XXIV[47]

Proportionate Schedule for Minimum Disclosure Requirements for the Share Securities Note for Rights Issues

Mar 2016

Annex XXV[48]

Proportionate Schedule for Minimum Disclosure Requirements for the Share Registration Document for SMEs and Companies with Reduced Market Capitalisation

Mar 2016

Annex XXVI[49]

Proportionate Schedule for Minimum Disclosure Requirements for the Debt and Derivative Securities < EUR 100 000 Registration Document for SMEs and Companies with Reduced Market Capitalisation

Mar 2016

Annex XXVII[50]

Proportionate Schedule for Minimum Disclosure Requirements for the Debt and Derivative Securities > EUR 100 000 Registration Document for SMEs and Companies with Reduced Market Capitalisation (schedule)

Mar 2016

Annex XXVIII[51]

Proportionate Schedule for Minimum Disclosure Requirements for the Depositary Receipts Issued Over Shares for SMEs and Companies with Reduced Market Capitalisation (schedule)

Mar 2016

Annex XXIX[52]

Proportionate Schedule for Minimum Disclosure Requirements for Issues by Credit Institutions Referred to in Article 1(2)(j) of Directive 2003/71/EC

Mar 2016
First published: Last updated: 19/07/2019

Forms and checklists[53]

Current Listing Rules checklists
Current Prospectus Rules cross-reference lists
How to complete checklists and cross-reference lists[1]
Prospectus Regulation Rules Cross Reference lists[2]
UK Listing Rules checklists[54]
PRM cross reference lists[55]
PRM forms and checklists[56]

Source URL: https://edit-stager.fcatest.org.uk/markets/ukla/forms/prospectus-rules-cross-reference-lists

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