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Prospectuses & financial promotions

In the past decade a myriad of rules and regulations have been brought into force governing how a company may promote the sale of its shares. Whether you are public or private companies, the rules are complex and require professional guidance.

Prospectus

A prospectus is needed where there is an ‘offer to the public’. The rules are relatively complicated, however we are experienced in preparing prospectuses in accordance with the UK Prospectus Rules and the UKLA Listing Rules.

Other Financial Promotions

Under section 21 of the Financial Services and Markets Act 200 (FSMA), an unauthorised person may not communicate a financial promotion in the UK, in the course of business, unless its contents are approved for the purposes of section 21 by an authorised person or it is subject to an exemption under the FSMA 2000 (Financial Promotion) Order 2005.

Entities of all types and individuals should be mindful of these rules, even when preparing a business plan for “friends & family” as this may lead to potential breach of the regulations. Being authorised by the FCS, Fisher Corporate is able to approve financial promotions for issue, subject to ensuring they comply with the necessary requirements.

We will provide advice and assistance regarding the implications of section 21 of FSMA, exemptions available and subsidiary legislation that governs financial promotions. This may be of particular relevance to entities that are seeking to raise finance from UK investors, by way of either equity or debt, especially when considering raising private equity finance or preparing an offer document for the takeover of another entity.

Fisher Corporate Plc is authorised and regulated by the Financial Conduct Authority under reference 193921.

Key Contact

Key Contact

Gary Miller

Director

T +44 (0)20 7380 4938

E Gary Miller

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