Date of consultation
October 2013
Summary of feedback received
The Knowledge Base is the UKLA’s repository of non-handbook technical commentary that has the status of formal FCA guidance. It consists of a series of short technical and procedural notes (Notes) published in PDF form and ordered by topic. The Notes relate to aspects of the Prospectus Rules, Listing Rules and Disclosure and Transparency Rules (PR, LR and DTR).
In Primary Market Bulletin No. 7[1] (October 2013), we proposed guidance to amend the Knowledge Base to include one new Technical Note to explain the prospectus disclosure requirements for retail investors in non-equity securities.
We summarise the feedback received on UKLA/TN/632.1 and the course of action taken in Primary Market Bulletin No. 9 (November 2014)[2].
Response to feedback received
Having considered the feedback received, we have now updated the Knowledge Base by adding one new note:
- UKLA/TN/632.1[3] – Non-equity prospectuses aimed at retail investors
Changes made to the guidance as a result of feedback received
The key amendments to each Note[4].