Filter results

Results (10878)

Sort by:

Select all Select all

Page 1

Katharina Hufgard - Das Recht auf Informationszugang bei Internationalen Organisationen am Beispiel der Weltbank

No access

Select

Katharina Hufgard

Das Recht auf Informationszugang bei Internationalen Organisationen am Beispiel der Weltbank

Series: Nomos Universitätsschriften - Recht

Volume 987 2021

Results in this title

Weltbankdokumente und -rechtsakte S. 397-400

„… Directive/Procedure 2018 Bank Directive/Procedure: Access to Information, Stand: 6. April 2018, Herausgeber: Vice …” „… Interpretations The World Bank, Access to Information Home, Appeals, Policy Interpretations. AI Policy Zuletzt …” „… überarbeitet: Bank Policy: Access to Information, Stand: 1. Juli 2015. AI Policy 2010 The World Bank Policy on …”

Literaturverzeichnis S. 401-424

„… World Bank’s Access to Information Policy Bank Information Center, „Unlocking the World Bank’s Access to …” „… . Calland, Access to Information and Constitutional Accountability Richard Calland, „Access to Information …” „… the Changing Praxis of the Right of Access to Information Richard Calland, „Exploring the Liberal …”

Kapitel 1: Informationszugang bei der Weltbank – institutioneller Kontext und Rechtsgrundlagen S. 58-160

„… Access to Information Policy als wesentliche Rechtsgrundlage des individuellen Informationszugangs bei …” „… sich seit 1985 stetig weiter und mündete schließlich in der Einführung der Access to Information Policy …” „… 2010 (dazu I.). Der Entstehungsprozess der Access to Information Policy 2010 zeichnete sich durch die …”

Einleitung: Informationszugang bei Internationalen Organisationen S. 21-57

„… /2010/07/12368 161/world-bank-policy-access-information. Einleitung: Informationszugang bei Internationalen …” „… veröffentlicht. Die Weltbank selbst bezeichnete ihre Access to Information Policy auch 2018 noch als den Standard …” „… problems facing modern governments“, H. Kranenborg/W. Voermans, Access to Information in the European Union …”

Titelei/Inhaltsverzeichnis S. 1-20

„… der Access to Information Policy BUT_Hufgard_7873-7.indd 1 07.07.21 13:53 Nomos …” „… Beschwerdeverfahren der Access to Information Policy Nomos BUT_Hufgard_7873-7.indd 3 07.07.21 13:53 Die Deutsche …” „… Organisationen einsetzten. In diesem Kontext erließ die Weltbank im Jahre 2010 ihre neue Access to Information …”

Kapitel 4: Verbesserungsvorschläge für das Informationszugangsrecht der Weltbank S. 342-379

„… . 410, 411; M. McDonagh, Evaluating the Access to Information policies of the Multilateral Development …” „… , vgl. Website der Weltbank, Access to Information, Featured, vom 30. Januar 2018, zuletzt abgerufen am …” „… . Website der Weltbank, Policies and Procedures, Access to Information Directive/Procedure, zuletzt …”

Kapitel 3: Bewertung der AI Policy anhand der Entscheidungen des AIC und AIAB S. 218-341

„… unter ein IP-Verfahren fallen: „The Bank also does not provide access to any other information that …” „… : „According to Attachment A of the Access to Information Handbook, pg 25, loan agreements should be disclosed …” „… agreements that result from its deliberative process, it does not provide access to the following information …”

Kapitel 2: Normative Maßstäbe zur Bewertung der AI Policy der Weltbank S. 161-217

„… zuweisen. 653 Vgl. auch GTI, Comments on Toward Greater Transparency Through Access to Information, S. 19 …” „… individual shall have appropriate access to information concerning the environment that is held by public …” „… standards establish only a general right to freedom of information, the right of access to information …”

Schlussbetrachtung und Ausblick S. 380-396

„… eingeschränkte Mandat des AIAB bestätigt, vgl. Bank Procedure „Access to Information Appeals Board – Operating …” „… : https://www.adb.org/docu ments/access-information-policy. Es scheint jedoch mittlerweile aus theoretischer Perspektive eine …” „… aktuellen Beitrag von M. McDonagh, Evaluating the Access to Information policies of the Multilateral …”

doi.org/10.5771/9783748922735

William Saffady - Information Compliance

No access

Select

William Saffady

Information Compliance

2023

Results in this title

5. Information Access and Disclosure S. 147-188

„… , https://www.oaic.gov.au/privacy/australian-privacy-principles-guidelines/chap-ter-12-app-12-access-to-personal-information; Privacy Act 1988 …” „… 1475Information Access and DisclosureInformation access and information disclosure are related but …” „… not synonymous concepts. Information access is the act of obtaining or retrieving information, either …”

6. Information Security and Protection S. 189-232

„… controls for access to and disclosure of nonpublic information. The information security and protection …” „… access to or use of nonpublic information• Laws and regulations that require organizations to report data …” „… , misuse, or unauthorized access to or modification of information. Contractors are also subject to …”

Index S. 275-292

„… , 171–72access to information: confidentiality agreements and, 167–68; contractual compliance in, 166–68 …” „… mandates in, 170–73; legal and regulatory compliance in, 148–55; mandatory access to government information …” „… , 148–50; mandatory access to personal information, 150–53; privacy policies and, 172–73; shareholder …”

1. Information Compliance: TERMS AND CONCEPTS S. 1-36

„… information, storage and preservation of information, access to and disclosure of information, security and …” „… mandate access to information maintained by government agencies and other public bodies• Laws and …” „… regulations that give individuals access to information that government agencies and nongovernmental entities …”

7. Ownership of Information S. 233-274

„… trade secrets may not limit access to their own Ownership of Information 243employees or properly inform …” „… medical records. Noncompliance issues involve the information access and disclosure requirements discussed …” „… partners, and affiliated entities that will have access to the client organi-zation’s information.As with …”

4. Information Storage and Preservation S. 117-146

„… readily accessible location for at least two years of a five-year retention period. Electronic information …” „… waste landfills must keep certain paper records or electronic information in a readily accessible …” „… backup copies in a secure location that is reasonably accessible when information recovery is neces-sary …”

Preface

„… and Preservation 117Chapter 5: Information Access and Disclosure 147Chapter 6: Information Security …” „… Information Compliance Information ComplianceFundamental Concepts and Best Practices William …” „… electronic or mechanical means, including information storage and retrieval systems, without written …”

2. Information Creation and Collection S. 37-76

„… 372Information Creation and CollectionThis chapter identifies and discusses compliance requirements …” „… for the creation and collection of data, documents, images, or other information by compa-nies …” „… contained in laws and regulations that mandate or prohibit the creation or collection of information related …”

3. Information Retention and Disposition S. 77-116

„… give individuals a reasonable opportunity to access personal information that the recordings may …” „… to prevent unauthorized access to consumers’ personal information in connection with its disposal.39 …” „… 773Information Retention and DispositionPolicies and procedures for the retention and disposition …”

doi.org/10.5771/9781538167687

Kibbie Simmons Ruth, Karen A. McClintock - Healthy Disclosure

No access

Select

Kibbie Simmons Ruth, Karen A. McClintock

Healthy Disclosure

2007

Results in this title

6 Appropriate Access to Information S. 113-126

„… Access to Information Chapter Access to InformationAn investment company marketed its services with …” „… rights to certain information but not all information. Permission to access information about a …” „… themselves determine who has access to information about their congregations and what those people can know …”

5 Levels of Information Disclosure S. 93-112

„… DisclosurePrivateConfidentialLimited accessInformation known by only one person who therefore owns it.Information released to a second …” „… information another person needs or has a right to receiveLimited-Access InformationSome seemingly …” „… or personal, becomes “limited-access” information. For example, a congregant may tell both the …”

11 Special Circumstances S. 205-228

„… having access to such sensitive information has challenged congregations. The radical hospitality of the …” „… this public information as if it were confidential or refusing to access it threatens the safety of …” „… . Limited-access information becomes more complicated when a retired pastor is secretly included in the loop. If …”

2 Concealing Information S. 31-56

„… have access to that information? Do the stewardship committee members know who gives and how much is …” „… Concealing Information Chapter Concealing InformationIn every conversation we choose what to …” „… privacy and the concealment of certain personal information is what defines our individuality.1 When free …”

10 Correcting Poor Communication S. 185-204

„… a whole? What agreements can committees make about limiting access to the information the committee …” „… , confidential, limited-access, and public information? After leaders have been trained about (1) how to manage …” „… limit access to the information for four days. What they discovered were decades of poor information …”

12 Speaking the Truth in Love S. 229-238

„… , or simply not having access to necessary information, may be more innocent than intentional deception …” „… confidentiality protects the integrity and dignity of an individual worshiper. Prudent lim-ited-access information …” „… rage-filled disruption. That Sunday morning revealed that the congregation had been mismanaging information …”

9 A Decision-Making Process S. 159-184

„… knew, but Rev. Mackay treated the information as if it were confidential, rather than limited access …” „… ac-cess to more information, such as his photograph and residence through the National Sex Offender …” „… how to manage sensi-tive information, and some congregations have to make difficult decisions in the …”

Introduction S. 1-6

„… have an agreement that they would limit access to the information related to personnel and told their …” „… conscious communication, which requires intentional consideration and awareness of every informa-tion …” „… . Congrega-tional conflicts and dysfunction often involve poor information management, currently or in the past …”

Preface

„… Access to Information 113 7 Legal Issues 127 8 Leaders “In the Know” 149 9 A Decision-Making Process 159 …” „… Why Do We Talk Too Much or Talk Too Little? 7 2 Concealing Information 31 3 Consequences of Secrets in …” „… Congregations 57 4 Disclosure 71 Patterns and Consequences 5 Levels of Information Disclosure 93 6 Appropriate …”

Notes S. 243-252

„… Obedience,” Journal for Preachers 20 (Lent 1997): 4. 5. James Gaffney, “Access to Information,” A Catholic …” „… Information in Congregations of the San Francisco Presbytery” (Doctor of Ministry thesis, Pacific School of …” „… information about why “every American court to consider the issue has refused to adjudicate claims of clergy …”

4 Disclosure: Patterns and Consequences S. 71-92

„… reduced had denominational officials shared that easily accessible and verifiable information with the …” „… Disclosing Information Chapter Disclosure: Patterns and ConsequencesWithholding information that …” „… also cripples congregational life. Disclosing in-formation that is inappropriate, inaccurate, or …”

1 Why Do We Talk Too Much or Talk Too Little? S. 7-30

„… Little?Congregational leaders, both lay and clergy, are trustees of in-formation about people’s lives. The fact that …” „… private information becomes public, and public information is often shared. Some of the information about …” „… individual lives within the community of the faithful needs to be concealed and other information needs to be …”

doi.org/10.5771/9781566995436

Matthias Lehmann, Christoph Kumpan - European Financial Services Law

No access

Select

Matthias Lehmann (ed.), Christoph Kumpan (ed.)

European Financial Services Law

Series: Kooperationswerke Beck - Hart – Nomos

Volume 2019

Results in this title

Article 21 Access to regulated information S. 1193-1197

„… a manner ensuring fast access to such information on a non-discriminatory basis and makes it …” „… information source, time recording and easy access by end users and shall be aligned with the filing procedure …” „… to in paragraph 2 and access to regulated information at the Union level, referred to therein. The …”

Article 22 Access to regulated information at Union level S. 1199-1200

„… . Article 22 Access to regulated information at Union level (1) ESMA shall develop draft regulatory …” „… technical standards setting technical requirements regarding access to regulated information at Union level …” „… operation of the central access point for the search for regulated information at Union level; (c) the …”

Article 18 Insider lists S. 799-808

„… , shall: (a) draw up a list of all persons who have access to inside information and who are working for …” „… access to inside information; (b) the reason for including that person in the insider list; (c) the date …” „… and time at which that person obtained access to inside information; and (d) the date on which the …”

Article 21 a European electronic access point S. 1197-1199

„… technologies’ used by the OAMs and ‘access to regulated information at the Union level, referred to therein …” „… dissemination of information to the public. Article 21 a European electronic access point (1) A web portal …” „… investors who need to investigate and access many different national facilities to search for information.1 …”

Article 77 Recognition of trade repositories S. 1673-1675

„… establishing cooperation arrangements to access information on derivatives contracts held in Union trade …” „… , including ESMA, have immediate and continuous access to all the necessary information. Within 30 working …” „… EU under Article 75(3) EMIR ensure that the latter has full access to the information. The EU can …”

Index S. 1785-1803

„… MiFIR 35-37 1-22 Access to CCP EMIR 8 2; MiFIR 35-37 1-22 Access to information – on non-discriminatory …” „… MAR 18 34 – access to inside information MAR 18 20, 23 et seq. – accuracy MAR 18 34 – addressee MAR …” „… basis MiFIR 13 6 Access to trading venue EMIR 8 3; MiFIR 35-37 1-22 Access-control-rule MiFIR 17 5 …”

Article 13 Obligation to make pre-trade and post-trade data available on a reasonable commercial basis S. 451-454

„… commercial basis and ensure non-discriminatory access to the information. Such information shall be made …” „… Furthermore, the access to information must be granted on a non-discriminatory basis. The data must be made …” „… information may not restrict access to post-trade data. Where and how the information can be obtained must be …”

Commentary to Articles 35-37 Art. 35-37 S. 532-537

„… (a) to prevent any other CCP or trading venue from obtaining access to such information or rights …” „… imposes three conditions for accessing the various markets: First, access shall be non-discriminatory …” „… as referred to in paragraph 1; or (b) to prevent any other CCP or trading venue from obtaining access …”

Article 17 Algorithmic trading S. 120-134

„… access to information at the same speed as algorithmic traders, or a lack of equal access to the market …” „… seek advantages from first access to information and trading.1 Art 17 (2) fifth para MiFID imposes …” „… Member State of the investment firm may, at any time, request further information from an investment firm …”

Article 48 Systems resilience, circuit breakers and electronic trading S. 268-292

„… . In this case, venues must provide the third party(ies) with the same access to information as …” „… outsourced operational function. (n) Trading venues must be given access to information related to business …” „… Therefore, a trading venue may request information from any member or user of sponsored access.158, 159 3 …”

Article 17 Public disclosure of inside information S. 778-799

„… enables fast access and complete, correct and timely assessment of the information 3. 36 Commission …” „… inside information is made public in a manner which enables fast access and complete, correct, and timely …” „… information is to be made public in a manner which ‘enables fast access and complete, correct and timely …”

Article 93 Notification procedure S. 1433-1436

„… investors shall have access to disclosures.1 1 See, for instance, on the key investor information document …” „… host Member State, in particular, the right of redemption, payouts and information. Level 2 and 3 …” „… authorities of its home Member State. The notification letter shall include information on arrangements made …”

Article 37 Non-discriminatory access to and obligation to licence benchmarks S. 531-532

„… for the purposes of clearing and trading; and (b) licences. A licence including access to information …” „… other CCP or trading venue from obtaining access to such information or rights as referred to in …” „… venue; (b) other conditions under which access is granted, including confidentiality of information …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 20 1189 Access to regulated information …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 21 a 1197 Access to regulated information at Union level …” „… and on information to be published on those securities (OJ L 184, 6.7.2001, p. 1-66 …”

Article 53 Access to a regulated market S. 308-312

„… provide such arrangements within 1 month. ESMA may request access to that information in accordance with …” „… information to the target Member State within one month.17 ESMA may request access to that information in …” „… information in violation of Art 17 of MAR.16 An exception applies when a suspension or removal from trading …”

Article 79 Operational reliability S. 1675-1676

„… non-discriminatory access to information maintained by the trade repository, on condition that the relevant …” „… repository shall allow the parties to a contract to access and correct the information on that contract in a …” „… information. 2. A trade repository shall maintain and operate effective written organisational and …”

Article 66 Organisational requirements S. 351-357

„… corruption and unauthorised access and to prevent information leakage, maintaining the confidentiality of the …” „… II calls for APA and CTP to efficiently and consistently disseminate information so that “fast access …” „… allow customers timely access at all times.25 It follows that the information must be disseminated in an …”

Article 65 Organisational requirements S. 349-351

„… access to the information, on a non-discriminatory basis and in formats that are easily accessible and …” „… ensures fast access to the information, on a non-discriminatory basis and in generally accepted formats …” „… corruption and unauthorised access and to prevent information leakage, maintaining the confidentiality of the …”

Article 36 Non-discriminatory access to a trading venue S. 529-531

„… CCPs have access to the trading venue and ESMA will publish that information so that investment firms …” „… trading and clearing, non-discriminatory access to: (a) relevant price and data feeds and information on …” „… ; and (b) licences. A licence including access to information shall be granted on a fair, reasonable and …”

Article 75 Equivalence and international agreements S. 1672-1673

„… relevant third countries regarding mutual access to, and exchange of information on, derivative contracts …” „… Union authorities, including ESMA, have immediate and continuous access to all the information needed …” „… arrangements to access information on derivatives contracts held in Union trade repositories. ESMA may …”

Article 8 Insider dealing S. 692-705

„… ) having access to the information through the exercise of an employment, profession or duties; or (d …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19 cc) Access to inside information in a professional capacity . . . . . . . . . . . . . 20 dd …” „… having access to the information through the exercise of an employment, profession or duties; or being …”

Article 18 Trading process and finalisation of transactions in an MTF and an OTF S. 134-142

„… satisfied that there is access to, sufficient publicly available information to enable its users to form an …” „… . Security Markets and Services 136 Christoph Kumpan and Ronny Grütze 1 provision of information, access to a …” „… Disclosure of information about the services provided 1. A clearing firm shall publish the conditions under …”

Article 35 Establishment of a branch S. 227-233

„… information: (a) the Member States within the territory of which it plans to establish a branch or the Member …” „… account the activities envisaged, it shall, within three months of receiving all the information …” „… , communicate that information to the competent authority of the host Member State designated as contact point …”

Chapter 1 Organisational requirements S. 1628-1637

„… oversight functions, including on-site access to acquire any relevant information needed to fulfil those …” „… ongoing basis; (h) the CCP has direct access to the relevant information of the outsourced functions; (i …” „… referred to in paragraph 1 is met on an ongoing basis and shall have timely access to the information …”

Article 34 Freedom to provide investment services and activities S. 222-227

„… request access to that information in accordance with the procedure and under the conditions set out in …” „… following information to the competent authorities of its home Member State: (a) the Member State in which …” „… the investment firm shall, within one month from receipt of all the information, communicate to the …”

Article 81 Transparency and data availability S. 1676-1678

„… access and correct the information on that contract in a timely manner. 6. A trade repository shall take …” „… repositories and for the entities referred to in paragraph 3 to have access to information as necessary. Those …” „… systems shall be reliable and secure and have adequate capacity to handle the information received …”

Article 20 Languages S. 1189-1193

„… information in a manner ensuring fast access to such information on a non-discriminatory basis and makes it …” „… information source, time recording and easy access by end users and shall be aligned with the filing procedure …” „… to in paragraph 2 and access to regulated information at the Union level, referred to therein. The …”

Article 51 Admission of financial instruments to trading S. 299-303

„… obtaining access to information which has been made public under the conditions established by Union law …” „… (Facilitation of access to information). II. Commentary Rules for admission of financial instruments (Art 51(1 …” „… markets must establish arrangements to facilitate members’ or participants’ access to information required …”

Article 18 Obligation for systematic internalisers to make public firm quotes in respect of bonds, structured finance products, emission allowances and derivatives S. 465-471

„… II. Commentary Access-control-rule (Art 17(1) MiFIR) Article 17(1) MiFIR allows systematic …” „… objective non-discriminatory way and be based on the commercial policy of the firm. This access-control-rule …” „… internalisers to decide the clients to whom they give access to quotes. However, any decision must be made in an …”

Article 94 Same disclosures as in UCITS home state S. 1436-1437

„… information referred to in Article 91(3); (b) the facilitation of access for the competent authorities of the …” „… information and documents which it is required pursuant to Chapter IX to provide to investors in its home …” „… Member State. Such information and documents shall be provided to investors in compliance with the …”

Article 64 Organisational requirements S. 347-349

„… access to the information, on a non-discriminatory basis and in formats that are easily accessible and …” „… way that ensures fast access to the information, on a nondiscriminatory basis and in a format that …” „… of transfer of information, minimise the risk of data corruption and unauthorised access and to …”

Article 6 Post-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments S. 423-425

„… publish information pursuant to Art 6(1) MiFIR. Access has to be granted on reasonable13 commercial terms …” „… technically possible. 2. Market operators and investment firms operating a trading venue shall give access, on …” „… public the information under paragraph 1 of this Article to investment firms which are obliged to publish …”

Introduction to Chapter III Intro Chapter III S. 221-222

„… State. The host Member State shall publish such information. ESMA may request access to that information …” „… access to regulated markets, CCPs, clearing and settlement facilities and arrangements in other Member …” „… ‘should all have the same opportunities of joining or having access to regulated markets throughout the …”

Article 46 General provisions S. 560-566

„… information between ESMA and the competent authorities of third countries concerned, including access to all …” „… ESMA with all information necessary for its registration. Within 30 working days of receipt of the …” „… shall set a deadline by which the applicant third-country firm is to provide additional information. The …”

Article 76 Cooperation arrangements S. 1673

„… establishing cooperation arrangements to access information on derivatives contracts held in Union trade …” „… , including ESMA, have immediate and continuous access to all the necessary information. Within 30 working …” „… (a) a mechanism for the exchange of information between ESMA and any other Union authorities that …”

Chapter 2 Conduct of business rules S. 1637-1643

„… met on an ongoing basis and shall have timely access to the information relevant for such assessment …” „… ensure fair and open access to the CCP and shall ensure that clearing members have sufficient financial …” „… that restrict access shall be permitted only to the extent that their objective is to control the risk …”

Article 14 S. 1081-1086

„… website where the key information document can be accessed; (d) the key information document remains …” „… information is provided. As of 3 January 2018, such telephone calls are governed by the record keeping …” „… . Article 14 1. The person advising on, or selling, a PRIIP shall provide the key information document to …”

Article 6 Responsibility attaching to the prospectus S. 984-987

„… admitted to trading on a regulated market. The provisions are basically aimed at facilitating the access to …” „… to facilitate access to financing via capital markets for SMEs – with an ‘extended’ definition of …” „… compared to larger issuers and should disclose sufficient information for investors to take their …”

Article 25 Obligation to maintain records S. 494-495

„… of the European Parliament and of the Council. ESMA may request access to that information in …” „… coordination role in relation to the access by competent authorities to information under this paragraph. (3 …” „… for cooperation and exchange of information between the NCAs. For the cooperation with ESMA, the …”

Article 10 Disclosure and presentation of credit ratings S. 1277-1280

„… provided for by ESMA. ESMA shall make that information accessible to the public and shall publish summary …” „… plays an increasingly important role in markets which rely on digital information. ESMA has stated that …” „… it is ‘of the opinion that information security is not always adequately considered in outsourcing …”

Article 15 Execution of client orders S. 458-463

„… MiFIR protects the market making activities of systematic internalisers by its access-toquotes rule …” „… that financial instrument.30 The information regarding class determinations must be made public to all …” „… ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7 3. Non-discriminatory access, reasonable commercial basis . . . . . . . . . . . . . . . . . 11 4 …”

Article 9 Reporting obligation S. 1596-1600

„… Access of CCPs to trade feeds of trading venues (Article 8 EMIR) The trading venues should provide …” „… CCP. There are two limits to the access obligation set out in Article 8(4), subpara 2, EMIR. The first …” „… access to trading venues. Such a threat may be caused by liquidity fragmentation. Liquidity fragmentation …”

Introduction S. 644-650

„… to other investors’.25 The perceived necessities of giving equal access to information for all market …” „… requirement to disclose inside information without delay, draw up a list of persons who have access to inside …” „… objective presentation of investment recommendations or other information recommending or suggesting an …”

Article 38 Access for third-country CCPs and trading venues S. 537-538

„… Art 37 MiFIR also phase in for new benchmarks established after 3 January 2017.39 Article 38 Access …” „… request access to a CCP established in the Union only if the Commission has adopted a decision in …” „… request access to a trading venue in the Union subject to that CCP being recognised under Article 25 of …”

Article 27 Notification of the acquisition of major holdings and control of non-listed companies S. 1522-1524

„… available by the non-listed company or through a register to which the AIFM has or can obtain access; and (c …” „… paragraph 2 shall contain the following additional information: Art. 27 AIFMD 4. Funds 1522 Christian …” „… which control was acquired, including information about the identity of the different shareholders …”

Article 54 Monitoring of compliance with the rules of the regulated market and with other legal obligations S. 312-315

„… request access to that information in accordance with the procedure, and under the conditions, set out in …” „… States when regulated markets facilitate access to their markets outside their home Member State …” „… Member State has then to pass on this information to the target Member State within one month.17 ESMA may …”

Article 23 Third countries S. 1200-1204

„… regulatory technical standards on access to regulated information at Union level [2016] OJ L234/1. 6 ESMA …” „… central access point at EU level, the use of a unique identifier number for each issuer, a common format …” „… for the delivery of information by the OAMs and a common classification of regulated information …”

Article 80 Safeguarding and recording S. 1676

„… access and correct the information on that contract in a timely manner. 6. A trade repository shall take …” „… systems shall be reliable and secure and have adequate capacity to handle the information received …” „… 1. A trade repository shall ensure the confidentiality, integrity and protection of the information …”

Article 26 Obligation to report transactions S. 495-498

„… perform a facilitation and coordination role in relation to the access by competent authorities to …” „… information under this paragraph. (3) ESMA shall develop draft regulatory technical standards to specify the …” „… instruments also receives that information. The competent authorities shall make available to ESMA, upon …”

Article 3 Pre-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments S. 403-408

„… topics, 12 July 2018, ESMA70-872942901-35, p. 30. 21 For further information on package orders see ESMA …” „… venue shall make that information available to the public on a continuous basis during normal trading …” „… . 3. Market operators and investment firms operating a trading venue shall give access, on reasonable …”

Article 35 Non-discriminatory access to a CCP S. 526-529

„… ESMA which other CCPs have access to the trading venue and ESMA will publish that information so that …” „… access must be permitted by a CCP, including confidentiality of information provided regarding financial …” „… ). TITLE VI NON-DISCRIMINATORY CLEARING ACCESS FOR FINANCIAL INSTRUMENTS Bibliography: Cabedo Y, ‘OTC …”

Introduction to Articles 39-43 Intro Art. 39-43 S. 538-541

„… system under which CCPs and trading venues authorised in foreign jurisdictions are permitted access on a …” „… fair reasonable and non discriminatory basis to: (i) relevant price and data feeds and information of …” „… Non-discriminative, transparent and rapid access to CCP, trading venues and benchmarks is of interest not only for EU …”

Article 16 Organisational requirements S. 65-120

„… , minimise the risk of data corruption and unauthorised access and to prevent information leakage maintaining …” „… access to all relevant information; (b) a compliance officer is appointed and replaced by the management …” „… access to a trading venue and do not apply a high-frequency algorithmic trading technique. Article 16 …”

Article 25 Recognition of a third-country CCP S. 1623-1628

„… authorities of the third countries concerned, including access to all information requested by ESMA regarding …” „… accessing information from a third-country CCP, conducting on-site inspections and sharing information with …” „… emergency situations referred to in Article 24, based on the available information at the time. Article 24 …”

Article 18 Entry into force S. 1784-1785

„… benchmarks MiFIR 35-37 1-22 Access to CCP EMIR 8 2; MiFIR 35-37 1-22 Access to information – on …” „… non-discriminatory basis MiFIR 13 6 Access to trading venue EMIR 8 3; MiFIR 35-37 1-22 Access-control-rule MiFIR …” „… practices MAR 13 1 et seq. Access for third-country CCPs and trading venues MiFIR 38 1-3 Access to …”

Article 12 Obligation to make pre-trade and post-trade data available separately S. 450-451

„… access to the information. Such information shall be made available free of charge 15 minutes after …” „… operators and investment firms operating a trading venue shall make the information published in accordance …” „… improve data consolidation, market operators and investment firms must publish information in accordance …”

Article 33 SME growth markets S. 217-221

„… financial instruments on the market there is sufficient information published to enable investors to make an …” „… 596/2014; (f) regulatory information concerning the issuers on the market is stored and disseminated to the …” „… EU’s efforts to improve access to new sources of funding for SMEs. In its Action Plan on Building a …”

Article 16 Additional information S. 1177-1179

„… would thus be required. Article 16 Additional information (1) The issuer of shares admitted to trading …” „… the issuer itself and giving access to the shares of that issuer. (2) The issuer of securities, other …” „… in loan terms or in interest rates. I. General features Purpose Article 16 lists information to be …”

Article 7 Authorisation of deferred publication S. 425-428

„… covered by Art 20 MiFIR access to the arrangements used to publish information pursuant to Art 6(1) MiFIR …” „… The information on concluded transactions that market operators and investment firms have to make …” „… information in the original report and a specific cancellation “flag” (which is a code specified in Table 4 of …”

Article 28 Disclosure in case of acquisition of control S. 1524-1526

„… , the AIFM managing such AIF shall make the information referred to in paragraph 2 of this Article …” „… the AIFM has or can obtain access; and (c) the competent authorities of the home Member State of the …” „… AIFM. Member States may require that the information referred to in paragraph 2 is also made available …”

Article 8 Pre-trade transparency requirements for trading venues in respect of bonds, structured finance products, emission allowances and derivatives S. 428-432

„… trading venue must make public the information concerning each transaction before the end of the relevant …” „… information available to the public on a continuous basis during normal trading hours. That publication …” „… access, on reasonable commercial terms and on a non-discriminatory basis, to the arrangements they employ …”

Article 52 Suspension and removal of financial instruments from trading on a regulated market S. 303-308

„… markets must establish arrangements to facilitate members’ or participants’ access to information required …” „… information which has been made public in accordance with EU law – free of charge and accessible on their …” „… market, it may not be obliged by that regulated market to provide information pursuant to Art 51(3) MiFID …”

Article 3 Definitions S. 1236-1242

„… access to inside information pursuant to Art 18(1)(a) MAR. However, in this context, Art 17(8) MAR …” „… parties to disseminate information.4 Article 3 Definitions 1. For the purpose of this Regulation, the …” „… it has provided information for that credit rating; […] (h) ‘rating category’ means a rating symbol …”

Article 10 Post-trade transparency requirements for trading venues in respect of bonds, structured finance products, emission allowances and derivatives S. 441-442

„… operating a trading venue shall give access, on reasonable commercial terms and on a non-discriminatory …” „… basis, to the arrangements they employ for making public the information under paragraph 1 to investment …” „… derivatives traded on a trading venue. The specific details of the required information are set out in Tables …”

Introduction S. 941-951

„… Press 2014); Parades TA, ‘Blinded by the Light: Information Overload and its Consequences for Securities …” „… University Press 2011); Schammo P, ‘Market Building and the Capital Markets Union: Addressing Information …” „… transparency requirements in relation to information about issuers whose securities are admitted to trading on …”

Article 78 General requirements S. 1675

„… non-discriminatory access to information maintained by the trade repository, on condition that the relevant …” „… information. 2. A trade repository shall maintain and operate effective written organisational and …” „… shall have objective, non-discriminatory and publicly disclosed requirements for access by undertakings …”

Article 34 Entry into force S. 1229-1230

„… , the Commission suggested that it would be desirable to further facilitate access by potential …” „… investors and information intermediaries at a pan-European level to financial information disclosed by small …” „… issuers and stored in the officially appointed mechanisms for the storage of regulated information …”

Article 47 Equivalence decision S. 566-571

„… authorities of third countries concerned, including access to all information regarding the non-Union firms …” „… accessible on the website of ESMA and shall contain information on the services or activities which the …” „… specify at least: (a) the mechanism for the exchange of information between ESMA and the competent …”

Article 9 Method of notification and disclosure S. 903-906

„… public disclosure of information set out in Article 6 shall be made in a manner ensuring fast access to …” „… made in a way that ensures fast access to the information on a non-discriminatory basis. To achieve …” „… . The notification of information to a relevant competent authority shall ensure the confidentiality of …”

Article 33 Review S. 1228-1229

„… /EC on the harmonisation of transparency requirements in relation to information about issuers whose …” „… , the Commission suggested that it would be desirable to further facilitate access by potential …” „… investors and information intermediaries at a pan-European level to financial information disclosed by small …”

Article 74 Delegation of tasks by ESMA to competent authorities S. 1670-1672

„… relevant third countries regarding mutual access to, and exchange of information on, derivative contracts …” „… Union authorities, including ESMA, have immediate and continuous access to all the information needed …” „… specific supervisory tasks may, in particular, include the power to carry out requests for information in …”

Article 64 Procedural rules for taking supervisory measures and imposing fines S. 1664-1666

„… review the necessity for the inspection or demand to be provided with the information on ESMA’s file. The …” „… power to request information in accordance with Article 61 and to conduct investigations and on-site …” „… comply with Article 60. Where carrying out his tasks, the investigation officer shall have access to all …”

Article 55 Provisions regarding CCP and clearing and settlement arrangements S. 315-316

„… instruments, all information that is internally or publicly available or accessible,16 as well as front …” „… information under Art 54 MiFID II without undue delay to the authority which is competent to investigate and …” „… . General features Purpose Article 55 MiFID II aims to ensure regulated markets have access to central …”

Commentary on Articles 25-27 Art. 25-27 S. 499-503

„… information available to ESMA on request.24 ESMA can also require access to stored information.25 Form and …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 2. Information to be stored and transmitted …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 3. Information provider …”

Article 3 Integration of securities markets S. 1114-1118

„… publish periodic financial information on a more frequent basis than the annual financial reports referred …” „… financial information on a more frequent basis than the annual financial reports referred to in Article 4 …” „… : – the additional periodic financial information does not constitute a disproportionate financial burden …”

Article 5 The prospectus S. 974-984

„… 8(2), the prospectus shall contain all information which, according to the particular nature of the …” „… to such securities. This information shall be presented in an easily analysable and comprehensible …” „… form. 2. The prospectus shall contain information concerning the issuer and the securities to be …”

Article 67 Hearing of the persons concerned S. 1667

„… complete information which has been requested by a decision pursuant to Article 61; (ii) to submit to an …” „… to complete and correct other information provided in an investigation launched by a decision …” „… respected in the proceedings. They shall be entitled to have access to ESMA’s file, subject to the …”

Article 66 Periodic penalty payments S. 1667

„… complete information which has been requested by a decision pursuant to Article 61; (ii) to submit to an …” „… to complete and correct other information provided in an investigation launched by a decision …” „… respected in the proceedings. They shall be entitled to have access to ESMA’s file, subject to the …”

Chapter 3 Prudential requirements S. 1643-1653

„… an interoperability arrangement, on a near to real-time basis. A CCP shall have access in a timely …” „… have access to adequate liquidity to perform its services and activities. To that end, it shall obtain …” „… protection. A CCP shall have prompt access to the financial instruments when required. 6. A CCP shall not …”

Article 9 Management body S. 43-50

„… management body shall have adequate access to information and documents which are needed to oversee and …” „… shall coordinate the collection of information provided for under the first subparagraph of this …” „… body and of any changes to its membership, along with all information needed to assess whether the firm …”

Article 23 Powers of competent authorities S. 838-843

„… following supervisory and investigatory powers: (a) to access any document and data in any form, and to …” „… receive or take a copy thereof; (b) to require or demand information from any person, including those who …” „… obtain information; (c) in relation to commodity derivatives, to request information from market …”

Article 19 Managers’ transactions S. 808-824

„… referred to in point (a), who has regular access to inside information relating directly or indirectly to …” „… issuer’s shares or debt instruments exceed the thresholds in point (a) or (b). If information regarding the …” „… person shall make all reasonable efforts to avail themselves of that information. (2) For the purposes of …”

Article 68 Disclosure, nature, enforcement and allocation of fines and periodic penalty payments S. 1667-1668

„… complete information which has been requested by a decision pursuant to Article 61; (ii) to submit to an …” „… to complete and correct other information provided in an investigation launched by a decision …” „… respected in the proceedings. They shall be entitled to have access to ESMA’s file, subject to the …”

Article 82 Exercise of the delegation S. 1678-1679

„… repositories should grant service providers non-discriminatory access to the information held by the repository …” „… governance requirements for trade repositories; (ii) data transparency and (iii) access requirements. Level 2 …” „… operational reliability and disaster recovery (Article 79) and to safeguard and record information (Article 80 …”

Foreword: The new transparency regime under MiFIR S. 389-392

„… markets, 2017, p. 8. For further information on the transparency regime under MiFID I see Kumpan …” „… may not display any information regarding the amount of securities offered within their systems, the …” „… public. Thus, the public is kept in the dark about the bid and offer prices.15 Since information about …”

Article 24 Obligation to uphold integrity of markets S. 492-494

„… of the European Parliament and of the Council. ESMA may request access to that information in …” „… the procedure for cooperation and exchange of information between the NCAs. For the cooperation with …” „… MiFID II. Examples are the duty to provide information (Art 25(6) MiFID II) or to not discriminate with …”

Article 47 Organisational requirements S. 264-268

„… . Level 2: Commission Delegated Regulation (EU) 2017/581 (RTS 15):1 Art 7 (Denial of access by a trading …” „… Council with regard to regulatory technical standards on clearing access in respect of trading venues and …” „… ensured that the necessary information is readily available including, for example, information regarding …”

Article 65 Fines S. 1666-1667

„… of access to the file shall not extend to confidential information or ESMA’s internal preparatory …” „… ) to supply complete information which has been requested by a decision pursuant to Article 61; (ii) to …” „… material required and to complete and correct other information provided in an investigation launched by a …”

Article 20 Post-trade disclosure by investment firms, including systematic internalisers, in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments S. 472-478

„… information in such a manner that ensures fast access to the information on a non-discriminatory basis and …” „… were concluded. That information shall be made public through an APA. 2. The information which is made …” „… . Relevant information and deferral regime (Art 20(2) MiFIR) . . . . . . . . . . . . . 18 4. Outsourcing of …”

Article 16 Prevention and detection of market abuse S. 772-778

„… direct access to all the relevant information regarding the data analysis and the genera- 2. 30 …” „… enables fast access and complete, correct and timely assessment of the information 3. 36 Commission …” „… manipulation pursuant to Art 12(1)(d) consists of the actual transmission of misleading information or the …”

Article 60 Exercise of the powers referred to in Articles 61 to 63 S. 1661

„… interest; the information technology resources; and the transparency about access rules and compliance …” „… order to facilitate the identification of information submitted by a trade repository, any document …” „… by ESMA by Articles 61 to 63 shall not be used to require the disclosure of information or documents …”

Article 22 Competent authorities S. 835-838

„… , directly or indirectly, an advantage or profits from the disclosure or the dissemination of the information …” „… et seq. 4 For further information see Hilgendorf and Kusche, ‘Art. 2 MAR' in Tido Park (ed …” „… national law, at least the following supervisory and investigatory powers: (a) to access any document and …”

Article 20 Investment recommendations and statistics S. 824-833

„… large number of persons have access’.27 Such channels could include a regulatory information system …” „… information can be directly and easily accessed free of charge.49 IV. Obligations concerning the …” „… information recommending or suggesting an investment strategy shall take reasonable care to ensure that such …”

Introduction S. 1563-1574

„… derivatives Markets, Netting, Asymmetric Information and Sharing of Default Risk through a Central …” „… technical standards on indirect clearing arrangements, the clearing obligation, the public register, access …” „… , Asymmetric Information and Sharing of Default Risk through a Central Counterparty? (2009), available at …”

Article 4 Definitions S. 22-34

„… : co-location, proximity hosting or high-speed direct electronic access; (b) system-determination of order …” „… electronic access’ means an arrangement where a member or participant or client of a trading venue permits a …” „… orders (direct market access) and arrangements where such an infrastructure is not used by a person …”

Article 22 Mandatory depositary; appointment and duties of depositary S. 1353-1357

„… . If a UCITS management company in a different Member State establishes a branch, the information …” „… Member State may agree to the information being provided in an official language of both Member States.7 …” „… competent authority must send the relevant information in English. The home competent authority and the host …”

Article 76 Publication of unit prices S. 1416-1417

„… 2009/65/EC of the European Parliament and of the Council as regards key investor information and …” „… conditions to be met when providing key investor information or the prospectus in a durable medium other than …” „… principle that mandatory disclosure of information within the meaning of Art 68 of UCITSD is to be provided …”

Article 80 Use of key investor information documents when directly and indirectly marketing UCITS S. 1422-1423

„… key investor information. This shall ensure that investors always have de facto access to the key …” „… for wrongful disclosure in the key investor information document. Level 2 and 3 easures ESMA’s Q&A on …” „… compromise. On one hand, it requires that the key investor information is precontractual information and as …”

Article 77 Marketing communications S. 1417-1418

„… contains specific information about a UCITS shall make no statement that contradicts or diminishes the …” „… significance of the information contained in the prospectus and the key investor information referred to in …” „… Article 78. It shall indicate that a prospectus exists and that the key investor information referred to …”

Article 3 Insider dealing, recommending or inducing another person to engage in insider dealing S. 627-628

„… issuer or emission allowance market participant; (c) having access to the information through the …” „… , insider dealing arises where a person possesses inside information and uses that information by acquiring …” „… , financial instruments to which that information relates. 2. This Article applies to any person who possesses …”

Introduction to MiFID II and MiFIR Matthias Lehmann S. 1-6

„… ) rules on non-discriminatory access to clearing; (6) the possibility to impose position limits for …” „… investor choice and access to finance for companies. Another key goal of MiFID II and MiFIR is the …” „… protection of investors,4 in particular by overcoming information asymmetries. Traders often have crucial …”

Article 59 Notification of ESMA decisions relating to registration S. 1660-1661

„… management conflicts of interest; the information technology resources; and the transparency about access …” „… Regulation (EU) No 1248/2012, in order to facilitate the identification of information submitted by a trade …” „… information or documents which are subject to legal privilege. Article 61 Request for information 1. ESMA may …”

Article 61 Request for information S. 1661-1662

„… interest; the information technology resources; and the transparency about access rules and compliance …” „… order to facilitate the identification of information submitted by a trade repository, any document …” „… by ESMA by Articles 61 to 63 shall not be used to require the disclosure of information or documents …”

Article 13 S. 1073-1081

„… the key information document (‘KID’), it appears to be especially concerned with excluding any …” „… the respective insurance contract has taken place. Section III Provision of the key information …” „… key information document in good time before those retail investors are bound by any contract or offer …”

Article 17 Access to quotes S. 463-465

„… Markets and Services 464 Christoph Kumpan and Finn Schmidt 1 2 3 4 II. Commentary Access-control-rule …” „… and be based on the commercial policy of the firm. This access-control-rule set out in Art 17 requires …” „… mn 18 above for more information. Article 16 Obligations of competent authorities The competent …”

Article 1 Subject matter S. 650

„… disclose inside information without delay, draw up a list of persons who have access to inside information …” „… regulatory framework on insider dealing, the unlawful disclosure of inside information and market …” „… (see → Arts 7 through 9), the unlawful disclosure of inside information (see → Art 10) and market …”

Article 81 Availability of key investor information S. 1423-1425

„… de facto access to the key investor information. Article 81 Availability of key investor information …” „… information to their clients or potential clients. 3. Key investor information shall be provided to investors …” „… the key investor information is available for download, Art 80 of UCITSD sets out that the key …”

Article 35 a Civil Liability S. 1294-1301

„… may not have access to information which is purely within the sphere of the credit rating agency. 3 …” „… matter, taking into account that an investor or issuer may not have access to information which is …” „… by that credit rating and the infringement was not caused by misleading and inaccurate information …”

Article 26 b Implementing acts S. 1364-1365

„… details in Art 22 of Commission Delegated Regulation (EU) 2016/438). Article 26 a Information exchange …” „… depositary shall make available to its competent authorities, on request, all information which it has …” „… the depositary shall without delay share the information received with the competent authorities of …”

Article 5 S. 1046-1048

„… additional measures to prevent retail investors from accessing specific information regarding a PRIIP …” „… Chapter II Key information document Section I Drawing up the key information document Article 5 1 …” „… product a key information document in accordance with the requirements of this Regulation and shall …”

Article 9 Outsourcing S. 1276-1277

„… information since 2014 in order to allow issuers to consider additional factors.5 The additional information …” „… plays an increasingly important role in markets which rely on digital information. ESMA has stated that …” „… it is ‘of the opinion that information security is not always adequately considered in outsourcing …”

Article 11 General and periodic disclosures S. 1280-1281

„… a standard form as provided for by ESMA. ESMA shall make that information accessible to the public …” „… rating process, and whether the rating agency had access to books, management or other relevant internal …” „… rating agency shall fully disclose to the public and update immediately information relating to the …”

Article 11 Incorporation by reference S. 995-997

„… Information1 Article 11 Incorporation by reference 1. Member States shall allow information to be incorporated …” „… with this Directive or Directive 2004/109/EC. Such information shall be the most recent available to …” „… the issuer. The summary shall not incorporate information by reference. 1 Before the amendment by the …”

Article 11 Information to be provided to ESMA S. 906-908

„… provisions outside of Chapter II. Article 11 Information to be provided to ESMA 1. The competent authorities …” „… shall provide information in summary form to ESMA on a quarterly basis on net short positions relating …” „… Regulation, additional information from a relevant competent authority on net short positions relating to …”

Article 11 a European rating platform S. 1281-1283

„… information set out in Annex I, Section E, Part I, including the fact that the agency is registered in …” „… a rating outlook, submit to ESMA rating information, including the credit rating and rating outlook …” „… of the rated instrument, information on the type of credit rating, the type of rating action, and …”

Article 95 Implementing legislation S. 1437-1438

„… (ii) the key investor information shall be translated into an official language of the host state …” „… investor information in French, German or Luxembourgish would be sufficient; the Luxembourg supervisory …” „… authority (CSSF) could authorise using key investor information in English. (iii) the other documents can be …”

Article 15 S. 1176-1177

„… number of voting rights of an issuer. In order to strengthen the reliability of this information, Article …” „… read in conjunction with Article 9(2). The information disclosed under Article 15 may change individual …” „… be required. Article 16 Additional information (1) The issuer of shares admitted to trading on a …”

Articles 34 to 35 S. 1293-1294

„… consideration that the investor or issuer may not have access to information which is purely within the sphere …” „… Delegated Regulation (EU) 272/2012.5 Furthermore, the handling of confidential information is regulated. In …” „… Art 32(1). Information exchanged between the authorities should, in principle, be regarded as …”

Article 16 Obligations of competent authorities S. 463

„… mn 18 above for more information. Article 16 Obligations of competent authorities The competent …” „… of Art 16 MiFIR is Art 27(4) MiFID I of 2004. Recitals Recital 21 MiFIR. Article 17 Access to quotes …” „… in an objective non-discriminatory way, the clients to whom they give access to their quotes. To that …”

Article 68 Cooperation between authorities in the same Member State S. 358

„… to avoid conflict of interest and so that information obtained from carrying out the delegated tasks …” „… information which is essential or relevant to the exercise of their functions and duties. Article 69 …” „… powers to: (a) have access to any document or other data in any form which the competent authority …”

Article 7 Inside information S. 673-692

„… institutional as well as retail investors, must have access to the information, or sectoral disclosure to …” „… ) having access to the information through the exercise of an employment, profession or duties; or (d …” „… available information may … include information which is made accessible on a commercial basis – e.g …”

Article 11 Market soundings S. 718-730

„… entity who perform tasks through which they have access to the information. The records must be listed in …” „… Article 11 Market soundings 1. A market sounding comprises the communication of information, prior …” „… point (a), (b) or (c). 2. Without prejudice to Article 23(3), disclosure of inside information by a …”

Article 10 a S. 1706-1708

„… legitimate interest need to be given access to relevant information. That is the purpose of Art 10(1 …” „… information on its website. The system operator shall indicate to the Member State whose law is applicable the …” „… , inform anyone with a legitimate interest of the systems in which it participates and provide information …”

Article 8 Notification to competent authorities of uncovered positions in sovereign credit default swaps S. 902-903

„… access to information on a non-discriminatory basis. That information shall be posted on a central …” „… must be notified. 3. The notification of information to a relevant competent authority shall ensure the …” „… confidentiality of the information and incorporate mechanisms for authenticating the source of the notification. 4 …”

Article 109 Cross-border provision of services; collaboration S. 1462-1463

„… competent authority, however, is authorised to act to protect investors (including a ban of market access to …” „… all the information concerning the management and ownership of such management companies that is …” „… likely to facilitate their supervision and all information likely to facilitate the monitoring of such …”

Article 92 Access point in host member state S. 1432-1433

„… provides a list of information to be provided by the host Member State. Art 91(4) of UCITSD clarifies that …” „… notification letter.3 Article 92 Access point in host member state UCITS shall, in accordance with the laws …” „… payments to unit-holders, repurchasing or redeeming units and making available the information which UCITS …”

Article 49 Tick sizes S. 292-296

„… relevant persons initiating those orders.199 This information has to be available to competent authorities …” „… XIII. Access to order book data (Art 48(11) MiFID II) Pursuant to Art 48(11) MiFID II, regulated …” „… markets have to make the data relating to the order book available or give access to the order book to the …”

Article 101 Cooperation and information exchange of competent authorities and ESMA; on-site visits; ESMA’s dispute resolution powers S. 1449-1452

„… authority or competent authorities that do not engage in information exchange or deny their officials access …” „… website where information concerning its members and jurisdiction is listed.2 Article 101 Cooperation and …” „… information exchange of competent authorities and ESMA; on-site visits; ESMA’s dispute resolution powers 1 …”

Articles 32 to 41 S. 937-939

„… information between the Commission, ESMA and the NCAs of the other Member States. Powers of competent …” „… ) SSR). Furthermore, the NCAs shall have the power to (a) gain access to any document, (b) require …” „… information from any person and if necessary summon and question a person in order to obtain information, (c …”

Article 91 Enabling of marketing in host member states S. 1431-1432

„… field governed by this Directive. 3. Member States shall ensure that complete information on the laws …” „… electronic means. Member States shall ensure that that information is available in a language customary in …” „… provides a list of information to be provided by the host Member State. Art 91(4) of UCITSD clarifies that …”

Article 2 Definitions S. 624-627

„… ) having access to the information through the exercise of an employment, profession or duties; or (d …” „… Directive 2012/30/EU of the European Parliament and of the Council (9); (4) ‘inside information’ means …” „… information within the meaning of Article 7(1) to (4) of Regulation (EU) No 596/2014; (5) ‘emission allowance …”

Article 32 Reporting of infringements S. 865-868

„… information and prevent[s] access to non-authorised staff members of the competent authority” and enable the …” „… stages of the procedure without prejudice to disclosure of information being required by national law in …” „… States may provide for financial incentives to persons who offer relevant information about potential …”

Article 27 Obligation to supply financial instrument reference data S. 498-499

„… shall publish them immediately on its website. ESMA shall give competent authorities access to those …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 2. Information to be stored and transmitted …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 3. Information provider …”

Article 9 Waivers for non-equity instruments S. 432-441

„… obligation for market operators and investment firms operating a trading venue to make public the information …” „… applicable waiver). Commission Delegated Regulation (EU) (RTS 27):7 Article 7 (Additional information for …” „… → Art 4 mn 20; for further information on negotiated and pre-arranged transactions see ESMA, Q&A on …”

Article 67 Designation of competent authorities S. 357-358

„… a manner as to avoid conflict of interest and so that information obtained from carrying out the …” „… information which is essential or relevant to the exercise of their functions and duties. Article 69 …” „… powers to: (a) have access to any document or other data in any form which the competent authority …”

Article 25 Assessment of suitability and appropriateness and reporting to clients S. 180-193

„… to competent authorities on request that natural persons giving investment advice or information …” „… necessary information regarding the client’s or potential client’s knowledge and experience in the …” „… provide information regarding that person’s knowledge and experience in the investment field relevant to …”

Article 24 Competent authorities and their powers S. 1204-1208

„… question to be organised in a manner such that conflicts of interest are avoided and information obtained …” „… them or are controlled by them, to provide information and documents; (b) require the issuer to …” „… disclose the information required under point (a) to the public by the means and within the time limits the …”

Article 98 Powers of competent authorities; inquiry rights S. 1439-1440

„… paragraph 1, competent authorities shall have the power, at least, to: (a) access any document in any form …” „… and receive a copy thereof; (b) require any person to provide information and, if necessary, to summon …” „… and question a person with a view to obtaining information; (c) carry out on-site inspections; (d …”

Article 45 Requirements for the management body of a market operator S. 252-262

„… address any deficiencies. Members of the management body shall have adequate access to information and …” „… management body and of any changes to its membership, along with all information needed to assess whether the …” „… accounting and reporting, strategic planning, risk management, compliance and internal audit, information …”

Article 14 Publication of the prospectus S. 1004-1007

„… deemed appropriate if 1 To reflect that the internet ensures easy access to information, and in order to …” „… comprising several documents and/or incorporating information by reference, the documents and information …” „… publication of a prospectus or a base prospectus must be in a general or financial information newspaper …”

Article 14 S. 1174-1176

„… own shares is crucial for investors, as information on management access to large blocks is important …” „… the issuer’s own shares at the 5 and 10 % levels. The information about a significant position in its …” „… 2007/14/EC, Article 7. See above, → Art 12 mn 16. Chapter III Ongoing information Art. 14 TD Wolf-Georg …”

Article 3 Obligation to publish a prospectus S. 965-969

„… information Article 2(1)(s), as amended by the 2010 Prospectus Amending Directive, is important to summaries …” „… of information which must be included in prospectuses under Art 5(2). Article 2(1)(s) defines ‘key …” „… information’, which means essential and appropriately structured information which is to be provided to …”

Article 10 Shareholders and members with qualifying holdings S. 50-53

„… Notification re management and changes (Art 9(5) MiFID) The initial information on the management …” „… information and requirements for the authorisation of investment firms. Art 9(5) MiFID has its own meaning …” „… made within 10 working days after the change.” The information on the new management body member must …”

Article 44 S. 597-598

„… have the necessary information available to be able to arrive at an informed judgement on the company …” „… is to grant market access only to companies which have already been in existence for three years (and …” „… investors, and where the NCA or NCAs are satisfied that investors have the necessary information available …”

Article 31 Monitoring of compliance with the rules of the MTF or the OTF and with other legal obligations Christoph Kumpan and Ronny Grütze S. 210-212

„… shall communicate to ESMA and to the competent authorities of the other Member States the information …” „… or an OTF to also supply without undue delay the information referred to in paragraph 2 to the …” „… circumstances that trigger an information requirement as referred to in paragraph 2 of this Article. I …”

Article 19 Monitoring by ESMA S. 471-472

„… a reasonable commercial basis to other market participants. With regard to access on a reasonable …” „… MiFIR. See the commentary on that provision above for further information. Article 13 of the Commission …” „… were concluded. That information shall be made public through an APA. 2. The information which is made …”

Article 108 Delineation of supervisory powers S. 1460-1462

„… taken, even if negative. Since consumers face disincentives to sue, including information asymmetry and …” „… on-the-spot verifications and investigations and the exchange of information between competent authorities, OJ …” „… competent authority, however, is authorised to act to protect investors (including a ban of market access to …”

Article 21 Post-trade disclosure by investment firms, including systematic internalisers, in respect of bonds, structured finance products, emission allowances and derivatives S. 478-482

„… concluded. That information shall be made public through an APA. 2. Each individual transaction shall be …” „… made public once through a single APA. 3. The information which is made public in accordance with …” „… regulatory technical standards in such a way as to enable the publication of information required under …”

Article 19 Specific requirements for MTFs S. 142-145

„… to the SME growth market.43 Operators of OTFs must submit additional information, such as whether …” „… participants, in accordance with Art 19(4) MiFID II.44 If a change occurs that results in any information …” „… the competent authority.45 However, if information is provided to correct, update or explain …”

Article 4 Waivers for equity instruments S. 408-417

„… quotes of each market maker in that instrument if permitted by price discovery mechanism. Access to data …” „… public their information on bid and offer prices and the depth of trading interests to those investment …” „… .17 The provided access has to be on reasonable commercial terms and on a non-discriminatory basis …”

Article 69 Supervisory powers S. 358-362

„… to avoid conflict of interest and so that information obtained from carrying out the delegated tasks …” „… information which is essential or relevant to the exercise of their functions and duties. Article 69 …” „… powers to: (a) have access to any document or other data in any form which the competent authority …”

Article 3 Definitions S. 654-657

„… access to inside information relating directly or indirectly to that entity and power to take managerial …” „… Article 11(2), and discloses information in the course of a market sounding; (33) ‘high-frequency trading …” „… 2014/65/EU; (34) ‘information recommending or suggesting an investment strategy’ means information: (i …”

Article 2 Scope S. 650-654

„… disclose inside information without delay, draw up a list of persons who have access to inside information …” „… regulatory framework on insider dealing, the unlawful disclosure of inside information and market …” „… (see → Arts 7 through 9), the unlawful disclosure of inside information (see → Art 10) and market …”

Article 63 Requirements for the management body of a data reporting services provider S. 341-347

„… efficiently and consistently disseminate such information in a way that ensures fast access to the information …” „… members of its management body and of any changes to its membership, along with all information needed to …” „… reporting services. To function well, financial markets need accurate, fast and processable information …”

Article 5 Authorisation requirement for the fund S. 1325-1327

„… information on the laws, regulations and administrative provisions implementing this Directive which relate to …” „… means. Member States shall ensure that such information is available at least in a language customary in …” „… specify the information to be provided to the competent authorities in the application for authorisation …”

Article 97 Appointment and qualifications of competent authorities S. 1438-1439

„… paragraph 1, competent authorities shall have the power, at least, to: (a) access any document in any form …” „… and receive a copy thereof; (b) require any person to provide information and, if necessary, to summon …” „… and question a person with a view to obtaining information; (c) carry out on-site inspections; (d …”

Article 1 Subject matter and scope S. 1099-1104

„… 15 December 2004 on the harmonisation of transparency requirements in relation to information about …” „… ) Bibliography: Arif S and de George T, ‘Starving for information? Financial reporting frequency and earnings …” „… information spillovers around the world’ (Working Paper, August 2016); Baums T, ‘Changing Patterns of …”

Article 9 Legitimate behaviour S. 705-711

„… from the mere fact that a legal person is or has been in possession of inside information that that …” „… person has used that information and has thus engaged in insider dealing on the basis of an acquisition …” „… made the decision on its behalf to acquire or dispose of financial instruments to which the information …”

Article 7 Conditions for authorisation S. 1328-1331

„… provide them with the information they require to monitor compliance with the conditions referred to in …” „… information to be provided to the competent authorities in the application for the authorisation of the …” „… company under paragraph 2 and the information for the notification provided for in paragraph 3; (c) the …”

Article 13 a Aggregation S. 1172-1174

„… . 3 Directive 2013/50/EU, recital 12. 4 ESMA, Q&A, Q20. Chapter III Ongoing information Art. 13 a …” „… information about a significant position in its own shares is crucial for investors, as information on …” „… management access to large blocks is important and as own shares and share buybacks are generally …”

Article 5 Requirement for authorisation S. 35-37

„… shall be publicly accessible and shall contain information on the services or activities for which the …” „… information on the services or activities for which each investment firm is authorised and it shall be updated …” „… requires the NCA to forward the information to ESMA. First implemented through Art 6 of the Omnibus …”

Overview of Articles 5-11 S. 894-895

„… transparency by facilitating the access to the information.9 Article 5 Notification to competent authorities of …” „… NCAs are required to provide information on net short positions reported to them to ESMA (Art 11 SSR …” „… disclosure of such information to the market could have a detrimental effect on the liquidity of sovereign …”

Article 14 Obligation for systematic internalisers to make public firm quotes in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments S. 454-458

„… facilitate data consolidation with similar data from other sources. 10 Access to information under Art 14 …” „… respect of that financial instrument, the class to which it belongs. That information shall be made public …” „… to all market participants and communicated to ESMA which shall publish the information on its …”

Article 5 Clearing obligation procedure S. 1588-1593

„… direct clearing access model. See in more detail above Introduction, paragraph 4. Small financial …” „… derivatives; (c) the availability of fair, reliable and generally accepted pricing information in the relevant …” „… arrangements for clearing those derivative contracts due to complexities affecting both types of access to …”

Article 10 Unlawful disclosure of inside information S. 711-718

„… acquisition or repurchase and does not alter its strategy in reaction to inside information obtained after the …” „… protected if the managers, as will often be the case, are in the possession of inside information other than …” „… the mere fact that a management buy-out is planned. The information, accordingly, has to be disclosed …”

Articles 83 to 91 S. 1679-1680

„… Non-discrimination As stated under Recital 42 EMIR, access rules are necessary considering the …” „… states that trade repositories should grant service providers non-discriminatory access to the …” „… information held by the repository, provided that the relevant counterparties consent to such action. The …”

Article 4 S. 1039-1046

„… which both require information to be provided to investors. II. Commentary Article 3(1) is of relevance …” „… include a summary that, in a concise manner and in non-technical language, provides key information in the …” „… prospectus shall provide, in conjunction with the prospectus, appropriate information about essential …”

Articles 36 to 39 S. 1301-1303

„… to access the relevant files held by the investigator or investigatory body, in accordance with Art 5 …” „… Commission Delegated Regulation (EU) No 946/2012. The right to access the file – including with regard to …” „… data protection considerations – excludes confidential information.5 The limitation periods applicable …”

Article 5 Notification to competent authorities of significant net short positions in shares S. 895-897

„… notifying persons and further promote transparency by facilitating the access to the information.9 Article 5 …” „… information on net short positions reported to them to ESMA (Art 11 SSR). The transparency regime laid down in …” „… mn 14. 3 This is because disclosure of such information to the market could have a detrimental effect …”

Article 33 Mechanism to avoid duplicative or conflicting rules S. 524-526

„… access and to prevent information leakage maintaining the confidentiality of the data at all times. Third …” „… ). TITLE VI NON-DISCRIMINATORY CLEARING ACCESS FOR FINANCIAL INSTRUMENTS Bibliography: Cabedo Y, ‘OTC …”

Article 32 Suspension and removal of financial instruments from trading on an MTF or an OTF S. 212-217

„… major malfunction or breakdown of the system for market access that results in participants losing their …” „… transactions or live orders, as well as unavailability of information indispensable for trading; (9) any major …” „… is due to suspected market abuse, a take-over bid or the non-disclosure of inside information about …”

Article 3 Formal requirements S. 1722-1724

„… access the information needed to enforce the credit claim. For these reasons, Art 3(3) requires Member …” „… provide information on the credit claim or the debtor for the purposes of using the credit claim as …”

Article 8 Withdrawal of authorisations S. 41-43

„… access to information and documents which are needed to oversee and monitor management decision-making …” „… regularly inform ESMA of such authorisations. EBA and ESMA shall coordinate the collection of information …”

Articles 27 to 31 S. 934-937

„… information between the Commission, ESMA and the NCAs of the other Member States. Powers of competent …” „… ) SSR). Furthermore, the NCAs shall have the power to (a) gain access to any document, (b) require …” „… information from any person and if necessary summon and question a person in order to obtain information, (c …”

Article 2 Definitions S. 396-403

„… relation to available trading interest that contains all necessary information to agree on a trade; (34 …” „… absence of clearing arrangements to which all participants have access; or (b) a clearing member or its …” „… missing clearing arrangements to which all participants have access.17 Portfolio compression, as defined …”

Article 6 Public disclosure of significant net short positions in shares S. 897-899

„… disclosure shall be made in a manner ensuring fast access to information on a non-discriminatory basis; for …” „… Purpose The disclosure requirement in Art 6 SSR is intended to provide useful information to other market …”

Article 11 Authorisation of deferred publication S. 442-450

„… allowances and derivatives traded on a trading venue. The specific details of the required information are …” „… Delegated Regulation (EU) 2017/583.6 Information relating to each component of a package transaction must be …” „… particular financial instruments.7 Information related to package transactions must include the package …”

Article 44 Authorisation and applicable law S. 247-252

„… high frequency trading, other forms of algorithmic trading and direct electronic market access …” „… operator shall provide all information, including a programme of operations setting out, inter alia, the …” „… operators are obliged to provide information that includes a programme of operations setting out, inter alia …”

Article 5 Volume Cap Mechanism S. 417-423

„… information specified in paragraph 4 in respect of those financial instruments where 3,75 % has been exceeded …” „… referred to in paragraph 4 is published. That report shall contain the information specified in paragraph 4 …” „… regulatory technical standards on the volume cap mechanism and the provision of information for the purposes …”

Article 12 Market manipulation S. 730-756

„… organisation could only have known that the information was misleading if that person had had access to other …” „… other form of deception or contrivance; (c) disseminating information through the media, including the …” „… made the dissemination knew, or ought to have known, that the information was false or misleading; 56 …”

Article 2 Definitions S. 1104-1114

„… themselves (or their local/regional authorities) from the information obligations specified in Article 18(2 …” „… 1(4) allows Member States not to require their national central banks to disclose the information …” „… regulated market, if different from the home Member State; (k) ‘regulated information’ means all information …”

Article 43 S. 594-597

„… competent authorities are satisfied that investors have the necessary information available to be able to …” „… official listing. The rationale for this requirement is to grant market access only to companies which have …” „… investors have the necessary information available to be able to arrive at an informed judgement of a …”

Article 48 Register S. 571-572

„… of ESMA and shall contain information on the services or activities which the third-country firms are …” „… See Art 46 MiFIR. II. Commentary The pan-European register ensures central data access and …” „… in the Union in accordance with Article 46. The register shall be publicly accessible on the website …”

Article 28 Obligation to trade on regulated markets, MTFs or OTFs S. 503-511

„… require access to stored information.25 Form and time The data provided must correspond to certain formats …” „… correct any false information.20 Recipient of the reports The information is to be addressed to the …” „… investment firm in question. The information shall be shared with the competent authority where most of the …”

Article 30 Indirect clearing arrangements S. 513-517

„… only accept a finite number of clients. As a consequence, not all parties have access to direct …” „… services through net omnibus accounts must provide the CCP with the necessary information on a daily basis …” „… compression, (b) the information to be published pursuant to paragraph 2, in such a way as to make use as far …”

Article 1 Subject matter and scope S. 392-396

„… derivatives on organised venues; (d) non-discriminatory access to clearing and non-discriminatory access to …” „… further information). Exemptions (Arts 1(5 a) to 1(7) MiFIR) Per Art 1(5 a), Title II and Title III of …”

Article 26 Scope S. 1521-1522

„… a register to which the AIFM has or can obtain access; and (c) the competent authorities of the home …” „… additional information: Art. 27 AIFMD 4. Funds 1522 Christian Schmies 1 2 3 4 5 …”

Article 15 Initial capital endowment S. 64-65

„… members or participants of a regulated market or MTF, do not have direct electronic access to a trading …” „… manufactures financial instruments shall make available to any distributor all appropriate information on the …”

Article 2 Definitions S. 1751-1755

„… Parliament and of the Council of 26 June 2013 on access to the activity of credit institutions and the …” „… direct debits (cf. http://www.europeanpaymentscouncil.eu). UNIFI standardizes the information transmitted …” „… among payment service providers and the EPC guidelines establish rules for using such information and …”

Article 32 Trading obligation procedure S. 519-524

„… legal effects.8 This agreement must be preceded by information of the clients and include the full set …” „… notional value of these derivatives.10 This information must be provided as close to real-time as possible …” „… to trading, Art 28(3) MiFIR would grant it non-exclusive and non-discriminatory access to a trading …”

Article 57 Position limits and position management controls in commodity derivatives S. 317-334

„… and access information regarding the size and purpose of a position as well as its beneficial or …” „… , the powers for the trading venue to: (a) monitor the open interest positions of persons; (b) access …” „… information, including all relevant documentation, from persons about the size and purpose of a position or …”

Article 2 Definitions S. 883-888

„… the business of credit institutions [2006] OJ L177/1. 4 Directive 2013/36/EU of 26 June 2013 on access …” „… question acting reasonably having regard to publicly available information as to the composition of the …” „… real-time information as to such composition from any person. For the purposes of paragraphs 1 and 2 the …”

Article 24 General principles and information to clients S. 157-180

„… 24 General principles and information to clients 1. Member States shall require that, when providing …” „… only when this is in the interest of the client. 3. All information, including marketing communications …” „… . Marketing communications shall be clearly identifiable as such. 4. Appropriate information shall be provided …”

Article 4 Enforcement of financial collateral arrangements S. 1724-1728

„… access the information needed to enforce the credit claim. For these reasons, Art 3(3) requires Member …” „… unhampered realisation of financial collateral is made broadly accessible under the Financial Collateral …”

Article 1 Scope S. 6-10

„… 176/1. 3 Directive 2013/36/EU of 26 June 2013 on access to the activity of credit institutions and the …” „… reporting service providers.14 These are three kinds of information transmitters: (1) approved publication …”

Article 6 S. 1048-1051

„… Section II Form and content of the key information document Article 6 1. The key information …” „… document shall constitute pre-contractual information. It shall be accurate, fair, clear and not misleading …” „… . It shall provide key information and shall be consistent with any binding contractual documents, with …”

Article 8 S. 1054-1063

„… PRIIP Regulation. Article 8 1. The title 'Key Information Document' shall appear prominently at the top …” „… of the first page of the key information document. The key information document shall be presented in …” „… underneath the title of the key information document. It shall read: ‘This document provides you with key …”

Article 6 Inciting, aiding and abetting, and attempt S. 629-637

„… another person an advantage or profit from the dissemination of the information in question; or (d …” „… ) transmitting false or misleading information or providing false or misleading inputs or any other behaviour …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4 2. Unlawful disclosure of inside information, Art 4 …”

Article 5 Half-yearly financial reports S. 1124-1131

„… , comparability and in particular the accessibility and usability of published financial information, which should …” „… – The IFRS Foundation’s Taxonomy should be used to transfer financial information into structured …” „… includes a fair review of the information required under paragraph 4. (3) Where the issuer is required to …”

Article 7 S. 1051-1054

„… performance information and certain other specific information which may be necessary for understanding the …” „… black and white the comprehensibility of information is not diminished.20 A possibility to avoid loss of …” „… , or green and italics etc., to set off certain information. By using combinations, the formatting …”

Article 4 Annual financial reports S. 1118-1124

„… and in particular the accessibility and usability of published financial information, which should …” „… stringent requirements for the notification of information. This corresponds to the principle of home state …” „… control. Chapter II Periodic information Article 4 Annual financial reports (1) The issuer shall make …”

Article 8 a Sovereign ratings S. 1269-1271

„… public notification if the information comes from a source accessible to the general public or if the …” „… information within the sphere of the rated entity that has been disclosed without the consent of the rated …” „… reasons for the rated entity not to give its consent to the disclosure of the information. 3. A credit …”

Article 21 Disclosure or dissemination of information in the media S. 833-835

„… recommendation needs to include a reference to the place where the information regarding the producer of the …” „… and transparent way. This is the result of the broad definition of inside information under MAR.59 …” „… information in the media For the purposes of Article 10, Article 12(1)(c) and Article 20, where information is …”

Article 12 Assessment procedures S. 58-61

„… the possible subsequent receipt of the information referred to in paragraph 2 of this Article …” „… information that is necessary to complete the assessment. Such request shall be made in writing and shall …” „… specify the additional information needed. For the period between the date of request for information by …”

Article 71 Publication of decisions S. 368-371

„… . The publication shall include at least information on the type and nature of the infringe- Art. 71 …” „… their official website such information and any subsequent information on the outcome of such appeal …” „… ensure that competent authorities receive information and the final judgement in relation to any criminal …”

Article 2 Definitions S. 1317-1323

„… information addressed personally to that investor in a way that is accessible for future reference for a …” „… period of time adequate for the purposes of the information and which allows the unchanged reproduction …” „… of the information stored; Chapter I Subject matter, scope and definitions Art. 2 UCITSD Dirk …”

Article 59 Requirement for authorisation S. 339-340

„… accessible and shall contain information on the services for which the data reporting services provider is …” „… information public.24 TITLE V DATA REPORTING SERVICES Section 1 Authorisation procedures for data reporting …” „… establish a list of all data reporting services providers in the Union. The list shall contain information …”

Article 99 a Minimum sanctioning S. 1442-1444

„… to comply with obligations concerning information to be provided to investors imposed in accordance …” „… decision. The publication shall include at least information on the type and nature of the infringement and …” „… ensure that competent authorities receive information and the final judgement in relation to any criminal …”

Article 99 b Name and shame S. 1444-1445

„… purpose of exchanging information between competent authorities. That database shall be accessible only to …” „… publication shall include at least information on the type and nature of the infringement and the identity of …” „… authorities receive information and the final judgement in relation to any criminal sanction imposed and …”

Article 8 Methodologies, models and key rating assumptions S. 1263-1269

„… ratings and the rating outlooks it issues are based on a thorough analysis of all the information that is …” „… shall adopt all necessary measures so that the information it uses in assigning credit ratings and …” „… agencies to draw up ratings based on a thorough analysis of all information available, paying particular …”

Article 28 Client order handling rules S. 202-205

„… disclose appropriate information to their clients about their order execution policy which explains …” „… of disclosure, which resulted from concerns that information provided by investment firms in order …” „… . Requirements of an execution policy include, for example, that (a) the information on the execution policy …”

Article 1 Scope and UCITS definition S. 1304-1317

„… information addressed personally to that investor in a way that is accessible for future reference for a …” „… Information Documents?’, Zeitschrift für Bankrecht und Bankwirtschaft (ZBB) 2011, 169-179; Riassetto I, ‘La …” „… (for complex funds) with investor information, known as the UCITS Key Investor Information Document …”

Article 13 Approval of the prospectus S. 999-1004

„… proved across the EEA. Given the lack of information in the 2017 Prospectus Regulation on this …” „… grounds, that the documents submitted to it are incomplete or that supplementary information is needed …” „… information is provided by the issuer, the offeror or the person asking for admission to trading on a …”

Article 13 S. 1163-1172

„… disclosure of shareholders’ intentions) […]’. Chapter III Ongoing information Art. 13 TD Wolf-Georg Ringe …” „… procedures to be used when notifying the required information to the issuer under paragraph 1 of this Article …” „… or when filing information under Article 19(3). Art. 13 TD 3. Market Transparency 1164 Wolf-Georg …”

Article 58 Position reporting by categories of position holders S. 334-339

„… register shall be publicly accessible and shall contain information on the services for which the data …” „… proceed to a centralised publication of the information included in those reports; (b) provide the …” „… ESMA. The latter will publish the information it has received.18 Besides, the trading venues themselves …”

Article 34 Publication of decisions S. 869-874

„… implementing technical standards to determine the procedures and forms for exchange of information as referred …” „… regarding the forms and procedures for submitting information to ESMA on administrative or criminal …” „… competent authorities exchanging information with the European Securities Market Authority as referred to in …”

Article 11 Penalties S. 1773-1774

„… ) 1093/2010, special attention should be given to the requirements to facilitate the exchange of information …” „… undertaken by relevant competent authorities” (point e), and to centralise and share all information received …” „… (replaced by Art 26 of PSD2), which establishes basic rules on the exchange of information for the purpose …”

Article 18 Notification S. 1014-1016

„… Member State of the need for new information. ESMA plays a crucial role in supporting the passport …” „… provisions, and which identifies and explains the reasons for possible omissions of information as allowed …” „… under Arts 8(2) and (3) (see discussion under → Art 8 above for more information). The notification must …”

Article 90 Fees S. 1431

„… field governed by this Directive. 3. Member States shall ensure that complete information on the laws …” „… electronic means. Member States shall ensure that that information is available in a language customary in …” „… , established in another Member State within their territories, is easily accessible from a distance and by …”

Article 89 Prohibition of naked short sales S. 1430-1431

„… . Member States shall ensure that complete information on the laws, regulations and administrative …” „… shall ensure that that information is available in a language customary in the sphere of international …” „… within their territories, is easily accessible from a distance and by electronic means. Member States …”

Introduction to Chapter I S. 34-35

„… shall be publicly accessible and shall contain information on the services or activities for which the …” „… information on the services or activities for which each investment firm is authorised and it shall be updated …”

Article 51 Risk management, exposure limits, reliance on credit rating agencies S. 1386-1389

„… regarding each managed UCITS. Competent authorities shall ensure that all information received under the …” „… communicating the information referred to in the third subparagraph of paragraph 1 to the competent authorities …” „… accessible to ESMA in accordance with Article 35 of the Regulation (EU) No 1095/2010, and the European …”

Article 9 Sanctions for legal persons S. 637-640

„… , and in the case of unlawful disclosure of inside information (Art 4 of MAD 2014), it must be at least …” „… legal persons, Arts 8 and 9 The offences of insider dealing, unlawful disclosure of inside information …” „… proceedings against natural persons who are involved as perpetrators, inciters or accessories in the offences …”

Article 50 a Investment in securitisation positions S. 1385-1386

„… shall ensure that all information received under the third paragraph aggregated in respect of all the …” „… management or investment companies they supervise is accessible to ESMA in accordance with Article 35 of the …”

Article 1 Subject matter and scope S. 1745-1751

„… withdrawals, unless the payment card or similar device is used only to generate the information required to …” „… Proposal) payment accessibility (Art 8 SEPA Regulation Proposal), and several transitional provisions. Both …”

doi.org/10.5771/9783845279893

Amanda R. Scull - Virtual Services in the Health Sciences Library

No access

Select

Amanda R. Scull (ed.)

Virtual Services in the Health Sciences Library

2022

Results in this title

I INFORMATION SERVICES,ENGAGEMENT, AND ACCESS S. 1-52

„… up-to-date information. • We are a part of your medical, dental, and public health community, with access to …” „… web page, giving them access to a wealth of timely information about the library and our digital …” „… learning opportunities to ensure that all information access assistants (the job designation of most …”

II RESEARCH, INSTRUCTION, AND CLINICAL SUPPORT S. 53-144

„… providing innovative services and seamless access to information through out-standing customer service …” „… has increasingly occurred in a digital format.1 Libraries now have two front doors to access resources …” „… information requests also via email or phone. In the following years, the library team enhanced email …”

Preface

„… health information professionals, supports health information research, promotes access to the world’s …” „… Virtual Services in the Health Sciences Library viiPart I: Information Services, Engagement, and Access 1 …” „… provid-ing virtual services in information and access services, reference and instruction, collections, and …”

About the Editor and ContributorsABOUT THE S. 147-152

„… development librarian and information studies faculty librarian at Keene State College and as access services …” „… mem-bers of the UIC community. Her research centers around improving information access for researchers in …” „… education and information services at the Dartmouth College Biomedical Libraries, where she has been deeply …”

doi.org/10.5771/9781538155448

1

2 3 ... 2176