Filter results

Results (3353)

Sort by:

Select all Select all

Page 1

Jens Peter Schmidt, Fabian Hübener - New Digital Markets Act

No access

Select

Jens Peter Schmidt (ed.), Fabian Hübener (ed.)

New Digital Markets Act

2023

Results in this title

Jens Peter Schmidt Chapter 7 Compliance and reporting obligations of gatekeepers S. 59-62

„… CHAPTER 7COMPLIANCE AND REPORTING OBLIGATIONS OF GATEKEEPERSJens Peter SchmidtA. Internal …” „… compliance with the obligations that are directly applicable to gatekeepers; in addition to public …” „… enforcement, it relies on specific compliance duties and regular reporting obligations to the European …”

Annex: Digital Markets Act S. 177-254

„… implemented ensures compliance with this obligation.In all cases, the gatekeeper and the requesting provider …” „… establishing non-compliance with any of the obligations laid down in this Regulation by a gatekeeper, including …” „… compliance with a specific obligation is shown by the gatekeeper to endanger the economic viability of the …”

Jens Peter Schmidt Chapter 12 Third-party rights before the European Commission and national authorities S. 107-111

„… obligations and prohibitions set out in Art. 5 and 6 DMA, as well as the compliance, reporting and monitoring …” „… . 8(1) DMA, gatekeepers must ensure and demonstrate compliance with the obligations laid down in Art. 5 …” „… with the DMA obligations.B. Information on practices or behaviour of gatekeepers(Art. 27 DMA)Art. 27(1 …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .D. 57CHAPTER 7COMPLIANCE AND REPORTING OBLIGATIONS OF GATEKEEPERSJens Peter SchmidtInternal …” „… obligations/dos and don’tsIf an undertaking has been designated as a gatekeeper, it is subject to specific …” „… obligations designed to ensure fair and open digital markets.This Practitioner’s Guide provides a …”

Henner Schläfke, Immo Schuler B. Basis for private enforcement of the DMA S. 116-125

„… order to ensure compliance with the requirements set out in Art. 6 DMA.17Obligations under Art. 7 …” „… being further specified or, in the event of circumvention, with all obligations’.B. Basis for private …” „… imposes obligations on them that serve to ensure the proper functioning of the internal market.6 In order …”

Index S. 255-260

„… requirements 10 43– grounds for annulment 10 44 et seq.– obligations of gatekeepers 10 45– right to …” „… seq.Additional remedies 10 27 et seqq.– review 10 30– selection 10 29– systematic non-compliance 10 27Adtech …” „… et seqq.– burden of proof 13 225– claim vehicle 13 224 et seqq.– obligation to furnish facts …”

Johanna Krauskopf, Markus Brösamle Chapter 8 Market investigations (Art. 16–19 DMA) S. 63-73

„… has engaged in systematic non-compliance with its obligations under the DMA (Art. 18 DMA). The market …” „… . 18 DMA (i.e. for systematic non-compliance with the DMA’s conduct obligations), a request by one …” „… DMA such as in investigations of non-compliance with the DMA’s conduct obligations (Art. 36 DMA). This …”

Fabian Hübener, Raphael Reims Chapter 10 EU penalties, investigative powers and legal protection S. 80-95

„… or more of the measures specified pursuant to Art. 8(2) DMA to ensure compliance with the obligations …” „… sets out that a gatekeeper is deemed to have engaged in systematic non-compliance with the obligations …” „… event of systematic non-compliance with specific DMA standards. While fines are imposed for 80 Fabian …”

Rick Cornelissen, Lumine van Uden I. Private enforcement in the Netherlands S. 153-164

„… their breach of DMA obligations.JurisdictionWhere the plaintiff is a consumer, the rules of the Italian …” „… defendant has its registered office or where the obligation arose or is to be performed.In matters relating …” „… powers to monitor compliance with the DMA, initiate investigations and exchange information with the …”

Jens Peter Schmidt Chapter 1 The DMA at a glance S. 1-2

„… standard procedure, (ii) investigate systematic non-compliance with the DMA obligations, or (iii) include …” „… platforms, known as gatekeepers, on which new obligations are imposed. Gatekeepers are companies that …” „… 21 new obligations designed to prevent unfair practices or practices that limit contestability in …”

Markus Brösamle, Emilia Etz Chapter 11 Role of national authorities and courts S. 96-106

„… internal market (cf. rec. 7 and 9 DMA). At the same time, harmonisation is said to reduce compliance costs …” „… return they must inform the European Commission if they observe a case of non-compliance with the DMA …” „… comprehensive exchange of information with national competition authorities (Art. 38(1) DMA) and for obligations …”

Jens Peter Schmidt Chapter 9 Merger control (Art. 14 DMA) S. 74-79

„… concentrations upon the gatekeeper in the event of systematic non-compliance with the DMA obligations. In order …” „… DMA merger control, but obligation to inform about intended concentrations (Art. 14 DMA …” „… ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4I. Obligation to inform for gatekeepers …”

Pablo Figueroa, Jorge Masía, Ana Parés K. Private enforcement in Spain S. 171-175

„… non-compliance with the obligation of Art. 6(2) DMA may be invoked:The gatekeeper shall not use, in competition …” „… cial contractual obligations, a Portuguese court will determine the law applicable based on Reg …” „… contractual obligations (Rome I); when it comes to extracontractual obligations, it is Reg. (EC) No 864/2007 …”

Franck Audran, Elsa Mandel E. Private enforcement in France S. 128-135

„… considered to […] be unfair where: […] there is an imbalance between the rights and obligations of business …” „… PRCs to indirectly enforce obligations contained in the DMA, without its actual implementation into …” „… prohibition of non-switching clauses;73 the obligation to apply fair, reasonable and non-discriminatory …”

Gonçalo Machado Borges, Sofia Vaz Sampaio, Leonor Martins Machado J. Private enforcement in Portugal S. 165-171

„… resulting from competition law infringements, claims based on breaches by gatekeepers of obligations imposed …” „… cases under Art. 102 TFEU, is an ex ante statute imposing prescriptive, detailed, obligations (notably …” „… should relate to an imbalance between the rights and obligations of business users where the gatekeeper …”

Markus Brösamle, Miriam Swamy-von Zastrow Chapter 5 Review by the European Commission (Art. 4 DMA) S. 36-40

„… non-compliance with the conduct obligations by a gatekeeper (Art. 18(1), (2) DMA) to ensure that the gatekeeper …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 23II. Review options for, and obligations of, the European Commission . . . . . . . . . . 26A …” „… services that have to comply with the conduct obligations (→ Ch. 6 mn. 11 et seqq., Art. 5, 6 and 7) (Art …”

Lucas Gasser, Jochen Hegener Chapter 6 Conduct obligations for gatekeepers (Art. 5–7 DMA) S. 41-58

„… obligations, the European Commission may – in the context of issuing a non-compliance decision pursuant to …” „… CHAPTER 6CONDUCT OBLIGATIONS FOR GATEKEEPERS (ART. 5–7 DMA)Lucas Gasser/Jochen HegenerBibliography …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1B. Conduct obligations pursuant to Art. 5 DMA …”

Henner Schläfke, Immo Schuler F. Private enforcement in Germany S. 135-145

„… obligations – a review on general terms and conditions, in particular pursuant to § 307(2) no. 1 BGB.Claims …” „… the obligations for gatekeepers set out in Art. 5 to 7 DMA give rise to corresponding rights.92 …” „… Accordingly, the amended § 33(1) GWB states that infringements of the obligations set out in Art. 5 to 7 DMA …”

Juliane Mendelsohn, Oliver Budzinski Chapter 2 DMA: background, objectives, and its relationship to competition law S. 3-22

„… /digital-markets-act-obligations-big-tech-uk-dmu/> (last accessed: 12.7.2023); Caillaud/Jullien, ‘Chicken and Egg: Competition among …” „… ; Ritz/Weber, ‘A Game Changer for Germany’s Competition Practice: Compliance Defense and Sweeping New Cartel …” „… through regulation that ensures, by way of interoperability obligations,8 that members of different …”

doi.org/10.5771/9783748937067

Stephan Wollbrink - A Violation of International Law as a Necessary Element of a "Threat to the Peace" under the UN Charter

No access

Select

Stephan Wollbrink

A Violation of International Law as a Necessary Element of a "Threat to the Peace" under the UN Charter

Series: Nomos Universitätsschriften - Recht

Volume 840 2014

Results in this title

Criteria for compliance with legal obligations S. 118-126

„… Criteria for compliance with legal obligationsBelow, various theories will be outlined concerning …” „… effectiveness125Conclusion regarding criteria for compliance with legal obligationsCompliance theories do not …” „… obligations. Instead, views range from the assumption of general noncompliance to general compliance.370 In …”

Conclusion regarding criteria for compliance with legal obligations S. 126

„… Conclusion regarding criteria for compliance with legal obligationsCompliance theories do not …” „… provide criteria whose fulfillment would serveas a guarantee for compliance with obligations. However …” „… , strong indicationswere found that the general willingness to fulfill imposed obligations evenif they are …”

European Court of Justice and its extensive interpretation of own competences S. 114-118

„… effectiveness117Criteria for compliance with legal obligationsBelow, various theories will be outlined …” „… legal obligation, there is no guaranteedcompliance, however. In fact, compliance with obligations is an …” „… obligations imposed on them. There are two reasons inparticular why compliance might deteriorate further. The …”

Enhancing morality and legitimacy S. 126-136

„… Conclusion regarding criteria for compliance with legal obligationsCompliance theories do not …” „… provide criteria whose fulfillment would serveas a guarantee for compliance with obligations. However …” „… accept obligations.However, issues dealing with the security of states in particular are of utmostconcern …”

Conclusion regarding requirements regarding the unlawful act S. 113-114

„… legal obligation, there is no guaranteedcompliance, however. In fact, compliance with obligations is an …” „… applicable international obligations.Maximization of effectivenessIt has been established that from a legal …” „… obligation beyond reasonable doubt.348 On the otherhand, the determination of a threat to the peace can have …”

Vorwort S. 5-17

„… compliance with legal obligationsII. 118Theories regarding compliance with internationallegal obligations …” „… Preliminary remark1. 33Breaches of the peace2. 36Threats to the peace3. 36Non-compliance with Chapter VI …” „… measures for conflict resolutiona) 59Chapter VI measuresb) 60General obligations of states in cases …”

Analysis S. 260-261

„… Security Council referred toa breach of international obligations.Situation in Zaire (today Democratic …” „… Sudanese government under an “obligation” to extradite thealleged assassins,915 this opinion cannot be …” „… accepted. Chapter VI Resolutionsare of a non-binding nature and can only place a political obligation on …”

Background S. 261-262

„… international obligations.Situation in Zaire (today Democratic Republic of Congo) (1996)BackgroundIn 1996, the …” „… Chapter VI Resolution. Even though the delegatesconsidered the Sudanese government under an “obligation …” „… non-binding nature and can only place a political obligation on theaddressee.The second resolution …”

Weapons of Mass Destruction and withdrawal from arms control treaty S. 173-185

„… al1 Stateswithout exception”.598 It further held that “[t]here exists an obligation topursue in good …” „… circumstances comply with international law.600 The findingof a negotiation obligation, on the other hand, was …” „… nuclear weapons may breach the disarmament negotiation obligation as stipulated by the ICJ, however. An …”

Background S. 293-294

„… consistedof the non-compliance with treaty and UN Charter obligations.In the last resolution, however, the …” „… Article III NPT. In the further resolutions the SecurityCouncil also stressed Iran’s non-compliance with …”

Analysis S. 294-295

„… consistedof the non-compliance with treaty and UN Charter obligations.In the last resolution, however, the …” „… Article III NPT. In the further resolutions the SecurityCouncil also stressed Iran’s non-compliance with …”

Teleological interpretation S. 69-98

„… obligations.The view that there is an obligation for the Security Council to act in caseof a threat to …” „… opt for a breach of obligations.With this argument one can refute the claim that preventive measures …” „… : Menk, Gewalt für den Frieden, p. 141; assuming even apunitive character Joyner, Sanctions, Compliance …”

Burden of proof S. 112-113

„… to prove the observance of its obligations.Regarding the degree of certainty of facts that has to be …” „… a primary norm that definesthe obligations of a state.346 There is no apparent reason why Article 39 …” „… breach of an international obligation.Burden of proofIn general, the burden of proof can either rest with …”

Analysis S. 254-255

„… obligations.In the subsequent resolutions, the Security Council determined “that [thejunta’s] failure to …” „… fulfill[l] obligations under the Agreement constitutes athreat to peace and security in the region”.883 The …” „… agreement an international treaty. Inthis case the non-compliance would have amounted to a breach of …”

Analysis S. 252-253

„… subjects of international law. Accordingly, the non-compliance with the obligations of the Yamoussoukro IV …” „… peaceinter alia on infringements of international obligations.II.868 S/RES/788 (1992); S/RES/813 (1993)869 …” „… arrived, the military junta complied with its obligations underthe Governors Island Agreement and within a …”

Possibility of global governance by the Security Council S. 187-189

„… obligationsfor states. The competence to adopt such obligations can easily be subsumedunder the term “measure …” „… VCLT, according to which an obligation may only beassigned to a third party subject to its consent.650 …” „… is due to the fact that, with such an approach, the obligation would have to be considered secondary …”

Analysis S. 240-241

„… Security Council inter alia as a reaction to breachesof international obligations.Conflict between the …” „… ) it “[r]ecogniz[ed] the threat Iraq’s non-compliance withCouncil resolutions and proliferation of …” „… resolutions the Security Council referred to Iraq’s ongoing breaches of its obligations established by prior …”

Background S. 251-252

„… its determination of a threat to peaceinter alia on infringements of international obligations.II.868 …” „… acceptedas warring parties and became partial subjects of international law. Accordingly, the non-compliance …” „… with the obligations of the Yamoussoukro IV Accord and the other treaties concluded between the parties …”

Background S. 263-264

„… of international obligations.Situation in the Central African Republic (1997)BackgroundIn 1996, parts …” „… in themeeting records, any breaches of international obligations were mentioned.Thus, the Security …” „… subjectsof international law. Accordingly, the mentioned non-compliance with theprovisions of this convention …”

Background S. 298-299

„… determination ofthose threats on preceding breaches of international obligations.II.1096 Bryden, Report of the …” „… , theSecurity Council adjusted the Eritrean and Somali sanction regimes as sufficient compliance was lacking in …”

Analysis S. 299-300

„… obligations.II.1096 Bryden, Report of the Monitoring Group on Somalia pursuant to Security Councilresolution 1811 …” „… regimes as sufficient compliance was lacking in both.1098AnalysisIn the first resolution, the Security …”

Background S. 246-248

„… international obligations.Situation in Somalia (1992)BackgroundIn the 1980s, several opposition movements were …” „… non-state actors854. As the UN systemalso requires compliance with humanitarian law and human rights, the …”

Systematic interpretation S. 54-69

„… humanitarian law would not infringe international obligations. However, the vast majority of states and …” „… international obligation.Finally, as the two other alternatives per definitionem consist of a breachof …” „… obligations of states in case of a conflict will beoutlined.General obligations of states in cases of …”

Conclusion regarding the maximization of effectiveness S. 136-137

„… chapter has shown that complete compliance with international obligations cannot be guaranteed. However …” „… questionable. After all, B has committed a clear breach ofits international obligations but remains unaddressed …” „… breached international obligations, it could not use the tu quoqueargument. In this case, this principle is …”

Summary and final remarks S. 196-202

„… would not necessarilyamount to a breach of international obligations if it occurred, thereby rendering …” „… obligations for the Member States concerning nuclear weaponsand their means of delivery. As long as such laws …” „… not only causes legal issues but is also undesirable with respect tothe Member States’ compliance with …”

Background S. 237-240

„… their obligations under international law: Alongside the breach ofthe prohibition of the use of force …” „… obligations and established an observer unitin April 1991.793 Following the cessation of hostilities, the …” „… obligations and its nuclear weapons program794, with the adjustment of the sanctions regime795 or with the …”

Method and structure S. 25-28

„… compliance with legal obligations. Those factors are subsequently applied to the Chapter VII context inorder …” „… peace. Instead, there might be cases in which there is an infringement ofinternational obligations …” „… obligations can be arequirement only for the first determination, while the determination of anongoing threat …”

Background S. 249-250

„… non-compliance with Resolution 731 (1992) did not amount to a breach of international law and the firstChapter …” „… , Libyacould be accused of a breach of international obligations. The subsequentresolutions implicitly …” „… , they were alsobased on the non-compliance with the Chapter VII Resolution 748 (1992).In conclusion …”

Analysis S. 250-251

„… extradition treaty between Libya and the US norbetween Libya and the UK. Hence, Libya’s non-compliance with …” „… accused of a breach of international obligations. The subsequentresolutions implicitly determined a threat …” „… alsobased on the non-compliance with the Chapter VII Resolution 748 (1992).In conclusion, there has been one …”

Determinations of Article 39 situations in the past S. 33-43

„… resolutions)cannot be traced back to preceding unlawful conduct. Those will be outlinedbelow:Non-compliance with …” „… Chapter VI ResolutionIn three cases, the Security Council determined non-compliance with a nonbinding …” „… the parties addressed by the Chapter VI Resolution under an international obligation to act in …”

Background S. 255-256

„… international treaty. Inthis case the non-compliance would have amounted to a breach of international …” „… obligations. However, even if one would consider this agreement acontract between private parties, it has to …” „… continued because UNITA did not comply withits obligations under the peace treaty. The Security Council …”

Analysis S. 256-257

„… way, UNITA’s non-compliance withthe obligations of the aforementioned peace treaties amounted to …” „… comply withits obligations under the “Accordos de Paz” (S/22609, annex), the LusakaProtocol (S/1994/1441 …”

Conclusion regarding the element of a violation of international law with respect to a potential lawmaking competence of the Security Council S. 195-196

„… obligations if it occurred, thereby rendering the respective determinations ultra vires. Instead, it is the …” „… that implement general abstract obligations for the Member States concerning nuclear weaponsand their …” „… States’ compliance with Chapter VII Resolutions.The legal issues, however, are not a result of the …”

Bibliography S. 307-318

„… Mission in Liberia. S/2011/497, 2011.Baxter, Richard R.: Forces for Compliance with the Law of War, in …” „… .Bradford, William: International legal compliance: Surveying the field, in: GeorgetownJournal of …” „… : Breach of the Obligation to Prevent and Reparation Thereof in the ICJ’sGenocide Judgment, in: The …”

Analysis S. 301-302

„… government’s non-compliance with thefirst resolution. Subsequently the Security Council only implicitly …” „… determined a continuing threat.Thus, a breach of international obligations was one of the aspects that …”

Background S. 300-301

„… SecurityCouncil also deplored the Libyan government’s non-compliance with thefirst resolution. Subsequently the …” „… Security Council only implicitly determined a continuing threat.Thus, a breach of international obligations …”

Background S. 257-258

„… gated to respect human rights.893 In this way, UNITA’s non-compliance withthe obligations of the …”

Schlussbemerkung S. 226-227

„… compliance with the UN Charter. In cases where the Security Councilexpressly referred to breaches of …” „… obligationswhen adopting a Chapter VII resolution. In this regard, it is generally onlythe wording of a resolution …”

Background S. 227-228

„… evaluate whether the Chapter VII Resolutionswere in compliance with the UN Charter. In cases where the …” „… Council referred to a preceding breach of international obligationswhen adopting a Chapter VII resolution …”

doi.org/10.5771/9783845252285

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

„… the regulated market.20 Article 54 Monitoring of compliance with the rules of the regulated market and …” „… with other legal obligations 1. Member States shall require that regulated markets establish and …” „… of the compliance by their members or participants with their rules. Regulated markets shall monitor …”

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

„… Section 2 Market transparency and integrity Article 31 Monitoring of compliance with the rules of …” „… the MTF or the OTF and with other legal obligations 1. Member States shall require that investment …” „… procedures, relevant to the MTF or OTF, for the regular monitoring of the compliance by its members or …”

Article 16 Organisational requirements S. 65-120

„… the ability of the supervisor to monitor the firm’s compliance with all obligations. An investment …” „… investment firm. Terms like ‘adequate’ and ‘sufficient to ensure compliance … with its obligations’ under …” „… paragraph 1, and the actions taken to address any deficiencies in the firm’s compliance with its obligations …”

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

„… carry out the outsourced functions effectively and in compliance with their legal obligations. (h …” „… trading system, algorithms and strategies and compliance with the obligations of the trading venue.134 …” „… paragraph 2 shall at least specify: (a) the obligations of the investment firm in relation to the provision …”

Article 44 Authorisation and applicable law S. 247-252

„… computer servers or computing centre is located. Compliance obligation (Art 44(3) MiFID II) Pursuant to Art …” „… regulated market itself, Member States shall establish how the different obligations imposed on the market …” „… , all the necessary arrangements to meet its obligations under this Title. 2. Member States shall …”

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

„… or derivatives thereof, operators with compliance obligations under Directive 2003/87/EC. The reports …” „… emission allowances or derivatives thereof, the reporting shall not prejudice the compliance obligations …” „… participants and the clients thereof, on that trading venue, at least on a daily basis. The obligation laid …”

Article 20 Home member state supervision S. 1348-1350

„… relation to points (a) to (m). 4. The management company shall comply with the obligations set out in the …” „… fund rules or in the instruments of incorporation, and the obligations set out in the prospectus, which …” „… authorities of the UCITS home Member State shall be responsible for supervising compliance with paragraphs 3 …”

Article 10 Competent authorities S. 1771-1773

„… framework for the fulfilment of a monetary obligation between the payer and the payee. Even though the SEPA …” „… monetary obligations, a creditor that accepts payment by direct debit may not refuse a payment because of …” „… the monetary obligation. A debtor who may perform its obligations by credit transfer risks a default …”

Article 17 S. 588-590

„… Art 12 LCD) pertains to sanctions for non-compliance with post-admission obligations. 1. 2. 1 Cf …” „… non-compliance with its post-admission obligations. In exercising this discretion, an NCA has to take account of …” „… comply with the obligations resulting from admission Article 17 Without prejudice to any other action or …”

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

„… that an issuer is in compliance with its obligations under EU law and must make issuers aware of their …” „… this point remains consistent.25 The compliance of the traceability system with Commission Delegated …” „… . In addition to the obligations set out in paragraphs 1 and 2, Member States shall require the …”

Article 27 Obligation to execute orders on terms most favourable to the client S. 195-202

„… to monitor an investment firm for compliance with its best execution obligations, Art 27(1) sets a …” „… ensure compliance with the core best execution obligation. In particular, firms must establish and …” „… service.2 Article 27 Obligation to execute orders on terms most favourable to the client 1. Member States …”

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

„… term “undertake” as used in Art 23(1) MiFIR.46 Article 23(1) states that its trading obligations apply …” „… also allow investment firms to unduly circumvent the share trading obligation.48 The broader the term …” „… “undertake” is interpreted, the more likely the arranger model is prohibited by MiFIR. The trading obligation …”

Chapter 1 Organisational requirements S. 1628-1637

„… obligations, Article 26(2) EMIR directs CCPs to establish a permanent compliance function that operates …” „… effective so as to ensure compliance with this Regulation, including compliance of its managers and …” „… competent authority to monitor the CCP’s compliance with this Regulation. 2. A CCP shall maintain, for a …”

Article 19 Notification for cross-border services by virtue of a branch S. 1347-1348

„… Member State shall be responsible for supervising compliance with paragraph 1. 3. A management company …” „… and shares; Chapter III Obligations regarding management companies Art. 19 UCITSD Dirk Zetzsche and …” „… obligations set out in the fund rules or in the instruments of incorporation, and the obligations set out in …”

Article 67 Duties of competent authority in case of non-compliance by master S. 1408-1409

„… Duties of competent authority in case of non-compliance by master 1. If the master UCITS and the feeder …” „… feeder UCITS of any decision, measure, observation of non-compliance with the conditions of this Chapter …” „… immediately communicate any decision, measure, observation of non-compliance with the conditions of this …”

Article 18 Insider lists S. 799-808

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 IV. Obligations under Article 18 …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 29 2. Ensuring compliance …” „… precise format. The same obligation applies to EAMPs, auction platforms, auctioneers and auction monitor …”

Article 9 Payment accessibility S. 1770-1771

„… framework for the fulfilment of a monetary obligation between the payer and the payee. Even though the SEPA …” „… monetary obligations, a creditor that accepts payment by direct debit may not refuse a payment because of …” „… the monetary obligation. A debtor who may perform its obligations by credit transfer risks a default …”

Article 19 Specific requirements for MTFs S. 142-145

„… , provided it is in compliance with specific instructions received from a client and with its obligations in …” „… with the obligations under MiFID II and MiFIR.42 When an MTF operator applies to have its MTF …” „… trading and the rules and procedures to ensure compliance with Arts 24, 25, 27 and 28 MiFID II. The …”

Article 1 S. 1680-1684

„… and Compliance 154; Devos D, ‘Legal Protection of Payment and Securities Settlement Systems and of …” „… PvP, Netting and Collateral Arrangements’ (1996) 4 Journal of Financial Regulation and Compliance 170 …” „… Journal of Financial Regulation and Compliance 107 (cited as “Vereecken”). The European Parliament and the …”

Article 21 Powers S. 1020-1023

„… competent administrative authority responsible for carrying out the obligations provided for in this …” „… relating to the obligations provided for in this Directive and in its implementing measures shall be …” „… responsibility for supervising compliance with this Directive and with its implementing measures and for …”

Article 64 S. 614-615

„… non-compliance With respect to sanctions for non-compliance with post-admission obligations, see above → Art 17 …” „… case, they must not be listed. TITLE IV OBLIGATIONS RELATING TO SECURITIES ADMITTED TO OFFICIAL LISTING …” „… Chapter I Obligations of companies whose shares are admitted to official listing Section 1 Listing of …”

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

„… carrying out the obligations provided for in this Directive and for ensuring that the provisions adopted …” „… tasks referred to in paragraph 4(h), any delegation of tasks relating to the obligations provided for in …” „… final responsibility for supervising compliance with the provisions of this Directive and implementing …”

Article 21 Regular review of conditions for initial authorisation S. 149-151

„… principles and obligations.30 Chapter II Operating conditions for investment firms Section 1 General …” „… authorities to establish the appropriate methods to monitor that investment firms comply with their obligation …” „… authorities1 of the Member States must establish appropriate methods to monitor investment firms’ compliance …”

Article 85 Powers for host Member States S. 384

„… granting of an authorisation as well as for the ongoing assessment of compliance with operating conditions …” „… to provide the information necessary for the monitoring of their compliance with the standards set by …” „… the monitoring of their compliance with the same standards. Article 86 Precautionary measures to be …”

Article 22 General obligation in respect of on-going supervision S. 151

„… assess the compliance of investment firms with those obligations. Article 23 Conflicts of interest 1 …” „… to monitor investment firms’ compliance with the requirements of MiFID II. The monitoring methods …” „… 21(2). Article 22 General obligation in respect of on-going supervision Member States shall ensure that …”

Article 14 S. 586-587

„… non-compliance in the future.1 In the interest of investor protection, ‘obligations resulting from admission …” „… another Member State where the issuer fails to comply with the obligations resulting from admission in …” „… already officially listed in another Member State where the issuer fails to comply with the obligations …”

Article 68 Mandatory disclosure instruments S. 1409-1410

„… , measure, observation of non-compliance with the conditions of this Chapter or information reported …” „… then immediately inform the feeder UCITS. I. Purpose Art 67 of UCITSD sets out obligations regarding …” „… , or observation of non-compliance with the conditions of Chapter VIII or of any information reported …”

Article 13 S. 585-586

„… the obligations resulting from admission in that Member State. Article 14 (previously Art 11 LCD …” „… the issuer fails to comply with the obligations resulting from admission in that Member State. The …” „… been compliance problems with an issuer in another Member State. In exercising its discretion, an NCA …”

Article 11 Market soundings S. 718-730

„… records to the competent authority upon request. This obligation shall apply to each disclosure of …” „… ) . . . . . . . . . . . . . . . . . . . . . . 6 3. Obligation to consider whether inside information is disclosed, Art 11(3 …” „… ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 5. Pre-disclosure obligations, Art 11(5 …”

Article 86 Precautionary measures to be taken by host Member States S. 384-386

„… granting of an authorisation as well as for the ongoing assessment of compliance with operating conditions …” „… to provide the information necessary for the monitoring of their compliance with the standards set by …” „… the monitoring of their compliance with the same standards. Article 86 Precautionary measures to be …”

Article 25 Obligation to maintain records S. 494-495

„… general rules of Regulation (EU) 1095/2010 apply, see Art 87 MiFID II. Obligations to monitor NCAs must …” „… gateway for monitoring compliance with other duties than those imposed by Art 24 MiFID II. Examples are …” „… access (Art 53(1) MiFID II). Compliance with all of these duties must be controlled by the NCA …”

Article 23 Conflicts of interest S. 151-155

„… assess the compliance of investment firms with those obligations. Article 23 Conflicts of interest 1 …” „… to monitor investment firms’ compliance with the requirements of MiFID II. The monitoring methods …” „… 21(2). Article 22 General obligation in respect of on-going supervision Member States shall ensure that …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 21 149 General obligation in respect of on-going supervision …” „… . . . . . . . . . . .Article 26 193 IX Obligation to execute orders on terms most favourable to the client …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 28 202 Obligations of investment firms when appointing tied agents …”

Article 66 Additional tasks vis-à-vis master’s competent authority S. 1407-1408

„… Section 6 Obligations and competent authorities Article 65 Feeder’s monitoring obligation …” „… master UCITS. In performing that obligation, the feeder UCITS may rely on information and documents …” „… of the feeder UCITS. I. Purpose Arts 65 and 66 of UCITSD impose specific monitoring obligations on …”

Index S. 1785-1803

„… . – access models EMIR 4 9 – access to MiFIR 35-37 1-23 – member EMIR 3 10 – obligation EMIR 4 3 …” „… – obligation for non-financial counterparties EMIR 10 3 – obligation procedure EMIR 5 1 – threshold EMIR 10 4 …” „… – clearing obligation EMIR 4 1 et seq.; MiFIR 29 1 – trading obligation MiFIR 28 1 et seq. Direct debit …”

Article 17 Algorithmic trading S. 120-134

„… safeguarding of financial instruments and funds belonging to clients, product governance obligations and the …” „… , the key compliance and risk controls that it has in place to ensure the conditions laid down in …” „… that those records be sufficient to enable its competent authority to monitor compliance with the …”

Article 84 Consultation prior to authorisation S. 383-384

„… , for the granting of an authorisation as well as for the ongoing assessment of compliance with …” „… to provide the information necessary for the monitoring of their compliance with the standards set by …” „… the monitoring of their compliance with the same standards. Article 86 Precautionary measures to be …”

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

„… to information requirements, that service shall not be additionally subject to the obligations set …” „… be judged to impair compliance with the investment firm’s duty to act in the best interest of the …” „… to impair compliance with the investment firm’s duty to act in the best interest of the client shall …”

Articles 65-104 Art. 65-104 S. 615-616

„… application Article 64 imposes a post-admission obligation on the issuers of shares which have already been …” „… ) EGAktG). Sanctions for non-compliance With respect to sanctions for non-compliance with post-admission …” „… obligations, see above → Art 17 mn 1 et seq. Articles 65-104 Articles 65-104 were transferred into the …”

Article 50 Synchronisation of business clocks S. 296-299

„… Schmidt 15 1 2 3 racy for members or participants of a trading venue) and Art 4 (Compliance with the …” „… they are installed in compliance with the manufacturer’s installation guidelines.15 Commission …” „… compliance of the traceability system with Commission Delegated Regulation (EU) 2017/574 must be reviewed …”

Article 30 Transactions executed with eligible counterparties S. 207-210

„… compliance with the rules of the MTF or the OTF and with other legal obligations 1. Member States shall …” „… without being obliged to comply with the obligations under Article 24, with the exception of paragraphs 4 …” „… eligible counterparties, primarily in relation to information obligations: Investment firms must (a) act …”

Article 11 S. 1067-1072

„… likely lead to continuous revision of the content of the KID and could therefore satisfy the obligation …” „… obligations under this Article shall not be limited or waived by contractual clauses. I. General …” „… Compliance Function and Additional Requirements Governing Rules of Conduct, Organisation and Transparency …”

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

„… of compliance with the rules of the regulated market and with other legal obligations 1. Member …” „… regulated market. 2. The rules referred to in paragraph 1 shall specify any obligations for the members or …” „… apply to each other the obligations laid down in Articles 24, 25, 27 and 28. However, the members or …”

Article 40 Obligation to provide information S. 239-240

„… . Particularly noteworthy are the following authorization requirements: – compliance with FATF recommnedations …” „… Obligation to provide information A third-country firm intending to obtain authorisation for the provision of …” „… management of the branch and the relevant documents to demonstrate compliance with requirements laid down in …”

Article 66 Organisational requirements S. 351-357

„… (a) the means by which the CTP may comply with the information obligation referred to in paragraphs …” „… with the information obligation referred to in paragraph 1; and (b) the concrete organisational …” „… person to whom these duties are owed. The obligations under Art 64-66 MiFID II are regulatory duties …”

Article 57 Exemptions from Art 52, 56 in certain cases S. 1396-1397

„… than operating a business. This is because additional legal obligations are prompted once the …” „… obligation to issue a takeover bid to the other shareholders. Controlling stakes also reduce the ability to …” „… delay of any measure designed to ensure compliance with investment limits. Chapter VIII Master-feeder …”

Article 36 Conditions for the marketing in Member States without a passport of non-EU AIFs managed by an EU AIFM S. 1539-1541

„… and most fundamental requirement is the full compliance of the AIFM with the requirements of AIFMD …” „… ) must be fulfilled. Apart from compliance by the EU AIFM with the applicable AIFMD requirements, Art 36 …” „… Directive, with the exception of Chapter VI. If and to the extent that compliance with a provision of this …”

Article 20 Specific requirements for OTFs S. 145-149

„… , provided it is in compliance with specific instructions received from a client and with its obligations in …” „… pertaining to a class of derivatives that has been declared subject to the clearing obligation in accordance …” „… shall establish arrangements ensuring compliance with the definition of matched principal trading in …”

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

„… Chapter IV Obligations regarding the depositary Article 22 Mandatory depositary; appointment and duties of …” „… Directive, Section IV – Q7. Chapter IV Obligations regarding the depositary Art. 22 UCITSD Dirk Zetzsche …” „… Directive 2009/65/EC of the European Parliament and of the Council with regard to obligations of …”

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

„… that an issuer is in compliance with its obligations under EU law and must make issuers aware of their …” „… terms and conditions of the derivative contract.20 Additional obligations (Arts 51(3) and (5) MiFID II …” „… transferable securities admitted to trading on a regulated market comply with their obligations under the law …”

Article 26 Cooperation with third countries S. 846-849

„… the Central Administrator, and other public bodies charged with the supervision of compliance under …” „… and the enforcement of obligations arising under this Regulation in third countries. Those cooperation …” „… authorities and ESMA, the applicability of some rules and obligations contained in the ESMA Regulation is …”

Article 14 b Details and proportionality of remuneration policy S. 1339-1343

„… not encourage risk taking which is inconsis- 1. 2. Chapter III Obligations regarding management …” „… independent internal review for compliance with policies and procedures for remuneration adopted by the …” „… management and compliance functions is overseen directly by the remuneration committee, where such a …”

Article 21 Host member state supervision in case of a branch S. 1350-1353

„… to provide services, to provide the information necessary for the monitoring of their compliance with …” „… management companies authorised in that Member State for the monitoring of their compliance with the same …” „… 326/49 (consolidated version). Chapter III Obligations regarding management companies Art. 21 UCITSD …”

Article 2 S. 1684-1691

„… Compliance 170, 171; Vereecken, 123; Ruzik, 202-204. 7 Recital 3; Ruzik, 201, 205. 8 Recital 9; Vereecken …” „… for discharging the financial obligations arising from transfer orders within that system. If a system …” „… financial obligations arising from transfer orders within this system, can be considered institutions …”

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

„… Finanzmarktkrise Teil 2: MiFID und MiFIR machen das Frühwarnsystem perfekt!‘, Corporate Compliance Zeitschrift (CCZ …” „… for non-equity instruments; (4) an obligation to trade certain derivatives on trading venues; (5 …” „… deter investors from engaging on the financial market. Disclosure rules and the obligation to conduct a …”

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

„… orders were placed or the transactions executed on or outside a trading venue. The same obligation, of …” „… training obligations. Market operators and systematic internalisers must provide regular, effective and …” „… and/or nature of [the reporting person’s] business’, ibid, para 150. Benchmark for compliance with Art 16 …”

Article 6 Conditions for taking up activities as AIFM S. 1478-1480

„… retain ultimate regulatory responsibility for ensuring compliance with AIFMD. If an AIFM is unable to …” „… ensure compliance with AIFMD, the competent regulatory authorities shall require the AIFM to step down in …” „… monitor compliance with the conditions referred to in this Directive at all times. 8. Investment firms …”

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

„… to the trading obligation are published in the register that ESMA needs to maintain under Art 34 …” „… fulfilled the obligation contained in Articles 28 and 29 where at least one of the counterparties is …” „… established in that third country and the counterparties are in compliance with those legal, supervisory and …”

Article 4 Use of credit ratings S. 1242-1246

„… means or distributed by subscription and presented and disclosed in accordance with the obligations of …” „… b of Section B of Annex I. (c) the ability of ESMA to assess and monitor the compliance of the …” „… necessary to enable ESMA to supervise on an ongoing basis the compliance with the requirements of this …”

Article 6 Independence and avoidance of conflicts of interest S. 1252-1257

„… whether the rating agency and its employees are in compliance with the obligations of the rating agency in …” „… it by control. 2. In order to ensure compliance with paragraph 1, a credit rating agency shall comply …” „… Grütze 8 9 ratings, which ensure the effective compliance with the objectives of this Regulation; and (c …”

Article 1 Purpose and scope S. 951-958

„… out the scope of the disclosure obligation, which turns on the concepts of ‘public offers’, as defined …” „… smaller than EUR 5 million under Art 1(1)(h) and the exemption from the obligation to prepare a prospectus …” „… and 4 of the Prospectus Directive, are related to exemptions from prospectus obligations. Within the …”

Article 48 Consequences of merger S. 1377-1380

„… provisions (statement of compliance). The depositary of the merging UCITS has very little interest to verify …” „… compliance so the UCITSD ensures an adequate level of control.2 (3) A sufficiently independent institution …” „… state the competent authority shall have the document), c) the depositary’s statement of compliance, and …”

Article 16 S. 587-588

„… LCD) pertains to sanctions for non-compliance with post-admission obligations. 1. 2. 1 Cf. Gebhardt …” „… obligations resulting from admission Article 17 Without prejudice to any other action or penalties which they …” „… may contemplate in the event of failure on the part of the issuer to comply with the obligations …”

Article 59 Requirement for authorisation S. 339-340

„… verification of their compliance with this Title. Such a service shall be included in their authorisation. (3 …” „… ensure that competent authorities keep under regular review the compliance of data reporting services …” „… , all the necessary arrangements to meet its obligations under the provisions of this Title. (3) An …”

Article 22 a Delegation by depositary S. 1357-1359

„… Obligations regarding the depositary Art. 22 a UCITSD Dirk Zetzsche and Dominik Nast 1357 13 14 15 3. The …” „… benefit of, creditors of the third party; and (e) complies with the general obligations and prohibitions …” „… custody functions. I. Purpose Art 22 a of UCITSD provides new delegation rules specifying the obligations …”

Article 4 Clearing obligation S. 1584-1588

„… obligation while also maintaining compliance with the principle of proportionality, the Commission Proposal …” „… Where intra-group risk management applies, the risk reducing obligations imposed by EMIR are …” „… obligation and bilateral risk mitigation regime see comments related to → Art 4(1)(a) and → Art 11(12). In …”

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

„… compliance with Arts 24, 25, 27 and 28 MiFID II. The obligations of Arts 24, 25, 27(1), (2), (4) through (10 …” „… consent of the issuer, the issuer shall not be subject to any obligation relating to initial, ongoing or …” „… instruments to trading, trading between members, reporting and, where applicable, transparency obligations.7 …”

Article 23 Registered office, qualification and organisation of depositary S. 1359-1360

„… supplementing Directive 2009/65/EC of the European Parliament and of the Council with regard to obligations of …” „… procedures sufficient to ensure compliance of the entity, including its managers and employees, with its …” „… obligations under this Directive; (c) it shall have sound administrative and accounting procedures, internal …”

Introduction S. 1563-1574

„… ) 2016/1178 as regards the deadline for compliance with clearing obligations for certain counterparties …” „… the clearing obligation, the suspension of the clearing obligation, the reporting requirements, the …” „… technical standards on indirect clearing arrangements, the clearing obligation, the public register, access …”

Article 5 S. 1046-1048

„… and stipulates PRIIP manufacturers’ core obligations, i.e. to draw up a key information document (‘KID …” „… investors a KID shall be drawn up and published on the manufacturer’s website. The obligation applies ‘… for …” „… obligation for distribution that are triggered by the sale of a PRIIP in Article 13(1) PRIIP Regulation …”

Article 11 Penalties S. 1773-1774

„… authorities have to take “all necessary measures” to ensure compliance with the SEPA Regulation in their …” „… obligations on authorities when cooperating, set out in the second subparagraph of Art 31 of Regulation (EU …” „… laid down in Arts 5(4) and (5) constitute accessory obligations in a contractual relation between payer …”

Article 82 Submission of key investor information to UCITS competent authority; duty to keep key investor information up to date S. 1425-1426

„… ensure compliance with the formal rules. Pursuant to Art 82(2) of UCITSD, the key investor information …” „… IX Obligations concerning information to be provided to investors Art. 82 UCITSD Dirk Zetzsche and …” „… obligation to provide key investor information on request. Hence, in this case as well an updated version …”

Article 9 Outsourcing S. 1276-1277

„… internal control and the ability of ESMA to supervise the credit rating agency’s compliance with …” „… obligations under this Regulation. I. General features Overview/purpose Article 9 CRA Regulation establishes …” „… mutatis mutandis to credit rating agencies as regards their duty of confidentiality and their obligation …”

Article 3 Integration of securities markets S. 1114-1118

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3 II. Obligations by home Member State …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 1. Issuers’ obligations …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5 2. Shareholder obligations …”

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

„… tion of alerts.36 Record retention and training obligations are similar to those for market …” „… . Reporting by one entity in the chain does not absolve the other persons from their reporting obligations.39 …” „… , ‘The EU market abuse Regulation’ (2016) 135 Compliance Officer Bulletin 1-29; Ventoruzzo M, ‘Comparing …”

Article 26 Precautionary measures S. 1210-1211

„… all information required to allow ESMA fulfil its obligations under the TD. To facilitate …” „… Article 10, has committed irregularities or infringed its obligations, it shall refer its findings to the …” „… obligation of cooperation between NCAs under Article 25. That article also provides for taking a case of …”

Article 24 Cooperation with ESMA S. 843-844

„… ensure compliance with duties imposed by MAR. Considering the margin of appreciation at the Member States …” „… Article 15 of Regulation (EU) No 1095/2010. Article 25 Obligation to cooperate 1. Competent authorities …” „… without undue delay and cooperate in investigation, supervision and enforcement activities. The obligation …”

Article 15 Initial capital endowment S. 64-65

„… The obligation laid down in the first paragraph shall be met in relation to structured deposits …” „… entitled to establish obligations against their own balance sheet by running a trading book or holding …” „… establish adequate policies and procedures sufficient to ensure compliance of the firm including its …”

Article 77 Recognition of trade repositories S. 1673-1675

„… 77(2) EMIR). This means the parties can fulfil their reporting obligations by transmitting the required …” „… obligation, the suspension of the clearing obligation, the reporting requirements, the risk mitigation …” „… establish adequate policies and procedures sufficient to ensure its compliance, including of its managers …”

Article 16 Additional information S. 1177-1179

„… commonalities with Section II (Articles 17-18). Together, Articles 16-18 impose various disclosure obligations …” „… obligations). More generally, information publicised under these provisions would appear to serve the …” „… requirement, and Member States are allowed to impose more onerous disclosure obligations.1 1. 2. 3. 1 See …”

Articles 14 to 20 S. 1284-1288

„… whether an agency is willing and able to undertake its obligations with respect to endorsing ratings …” „… closing of branches.7 Changes to the business structure, personnel changes in the compliance and internal …” „… important operational tasks, such as the provision of ratings or credit analyses, compliance, rating method …”

Article 7 Procedures for granting and refusing requests for authorisation S. 38-41

„… initial authorisation, all the necessary arrangements to meet its obligations under this Chapter. 3. An …” „… 35-36-794. II. Commentary Compliance with MiFID (Art 7(1) MiFID) The authorisation is subject to compliance …” „… compliance with the conditions set out in Regulation (EU) No 575/2013; (d) has seriously and systematically …”

Article 32 Trading obligation procedure S. 519-524

„… risk reduction techniques such as portfolio compression. This is true, in particular, of the obligation …” „… of best execution under MiFID II6 as well as the transparency and the trading obligation under MiFIR …” „… .7 It therefore makes sense that Art 31(1) MiFIR dispenses from those obligations in the context of …”

Article 25 Obligation to cooperate S. 844-846

„… . Article 25 Obligation to cooperate 1. Competent authorities shall cooperate with each other and with ESMA …” „… and enforcement activities. The obligation to cooperate and assist laid down in the first subparagraph …” „… provide the same to other competent authorities and ESMA to fulfil their obligation to cooperate with each …”

Article 37 Authorisation of non-EU AIFMs intending to manage EU AIFs and/or market AIFs managed by them in the Union in accordance with Article 39 or 40 S. 1541-1550

„… compliance with a provision of this Directive is incompatible with compliance with the law to which the …” „… non-EU AIFM and/or the non-EU AIF marketed in the Union is subject, there shall be no obligation on the …” „… to combine such compliance with compliance with a mandatory provision in the law to which the non-EU …”

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

„… approve ratings must rotate every 7 years.15 In addition to the rotation obligation, a waiting period of 2 …” „… of appointment. If an exemption from a rotation obligation is cancelled, the period before a rotation …” „… regulatory technical standards of the assessment of compliance of credit rating methodologies, Official …”

Article 61 Communication between feeder’s and master’s depositary S. 1401-1403

„… compliance shall not give rise to any liability on the part of such depositary or any person acting on its …” „… obligations.1 Given that UCITS and depositary do not reside in the same Member States, the competent authority …” „… provision. Such compliance shall not give rise to any liability on the part of such auditor or any person …”

Article 47 Organisational requirements S. 264-268

„… paragraph 2 shall at least specify: (a) the obligations of the investment firm in relation to the provision …” „… of liquidity and where applicable any other obligation arising from participation in the scheme …” „… compliance by investment firms with the requirements of such binding written agreements. The regulated market …”

Article 47 Equivalence decision S. 566-571

„… obligations to cooperate laid down in Directive 2014/65/EU, the competent authority of the Member State where …” „… substituted compliance.2 Its function is to exempt investment firms performing services cross-border from …” „… Regulation (2016), p. 391 et seq. 2 On the determination of substituted compliance for certain swap …”

Article 5 Clearing obligation procedure S. 1588-1593

„… obligation while also maintaining compliance with the principle of proportionality, the Commission Proposal …” „… lation3 clarifies (i) the structure of those agreements, (ii) the obligations of the CCPs, (iii …” „… ) the obligations of the clearing members and (iv) the obligations of the clients. DLT could support …”

Article 29 Obligations of investment firms when appointing tied agents S. 205-207

„… requirement to publish unexecuted client limit orders. The obligation to make public unexecuted client limit …” „… State has decided to waive this obligation in respect of large transactions (see sentence 4 of Art 28(2 …” „… )). Article 29 Obligations of investment firms when appointing tied agents 1. Member States shall allow an …”

Article 79 Operational reliability S. 1675-1676

„… establish adequate policies and procedures sufficient to ensure its compliance, including of its managers …” „… subject to the reporting obligation under Article 9. A trade repository shall grant service providers …” „… fulfilment of the trade repository’s obligations. Such a plan shall at least provide for the establishment of …”

Article 73 Reporting of infringements S. 373-375

„… the effective enforcement of MiFID II obligations, Article 73 sets several standards for “internal …” „… ” and “external” whistleblowing. Since violations of MiFID II obligations – typical of unlawful behavior …” „… standards, it also relates to Articles 77 et seq. regarding obligations of auditors and other service …”

Article 107 Reasoning of negative decisions; standing to sue of consumer protection agencies S. 1459-1460

„… action is to be taken it is simply a reporting requirement as part of the auditor’s compliance report to …” „… the regulator. Art 106(2) of UCITSD ensures that the auditor can meet its obligation without risking …” „… are marketed within the territory of that Member State is in breach of the obligations arising from …”

Article 17 Cross-border services by virtue of a branch S. 1344-1346

„… authorities of the management company’s host Member State shall be responsible for supervising compliance with …” „… paragraph 2, prepare for supervising the compliance of the management company with the rules under their …” „… information to be notified in accordance with paragraphs 1, 2, 3, 8 and 9. Chapter III Obligations regarding …”

Article 39 Establishment of a branch S. 237-239

„… noteworthy are the following authorization requirements: – compliance with FATF recommnedations regarding …” „… Obligation to provide information A third-country firm intending to obtain authorisation for the provision of …” „… management of the branch and the relevant documents to demonstrate compliance with requirements laid down in …”

Article 13 Mechanism to avoid duplicative or conflicting rules S. 1611-1612

„… transaction subject to this Regulation shall be deemed to have fulfilled the obligations contained in Articles …” „… risk mitigation obligations also apply when one or both parties to a derivative contract is established …” „… are considered to be in compliance with EU law, provided that at least one of them is established in …”

Article 15 Execution of client orders S. 458-463

„… chooses to execute, it shall execute the order at one of the quoted prices in compliance with Article 28 …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6 1. General obligations for systematic internalisers (Art 15(1) MiFIR) . . . . . . . 6 2 …” „… : Commission Delegated Regulation (EU) 2017/567:1 Article 6 (Obligation to provide market data on a reasonable …”

Article 3 Intragroup transactions S. 1579-1584

„… ) fixes the exemptions from its scope Articles 1(4,5,6); 2a; 3 EMIR). Due to the high compliance costs …” „… associated with the derivative post-trading obligations designed by EMIR, this title is of particular …” „… fulfil the specific requirements enumerated under Article 10: (i) a clearing obligation through CCPs …”

Article 28 Data protection S. 850-851

„… secrets to a large audience. The meaning of the exception in (a) above remains unclear. If the obligation …” „… an authority would be able to waive that obligation when it transmits information in accordance with …” „… that it requires compliance with otherwise applicable national law transposing Directive 95/46/EC and …”

Article 11 Notification of acquisitions and disposals of qualifying holdings S. 53-58

„… supervising compliance with the MiFID/MiFIR framework if the group is more oriented towards the group interest …” „… ) than towards compliance with the Union law. Relations to Third Countries (Art 10(2) MiFID) A particular …” „… received at annual general meetings of shareholders and members or as a result of compliance with the regu …”

Introduction S. 644-650

„… 8 through 11 and 14, and the disclosure obligations pursuant to Art 17 of the Regulation. Market …” „… insider was under an obligation either to make appropriate disclosure or abstain from trading (the …” „… have held that many professional relationships create the fiduciary obligation to abstain from trading …”

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

„… Article 10(2) CRA Regulation requires compliance with the obligations set out in Annex I, Section D with …” „… mutatis mutandis to credit rating agencies as regards their duty of confidentiality and their obligation …” „… categories used for any other entities, financial instruments or financial obligations. 4. A credit rating …”

Article 4 Notifications and list of financial instruments S. 657-661

„… national competent authorities and ESMA.1 A similar obligation requiring trading venues to provide …” „… administrative burden on trading venues, ESMA decided to align the reporting obligations.3 The regulatory …” „… notification obligations are fulfilled, Art 4(5) requires implementing technical standards to be drafted that …”

Article 99 Sanctioning powers of competent authorities; minimum sanctions S. 1440-1442

„… Directive and provide the same to other competent authorities and ESMA in order to fulfil their obligation …” „… ) compliance with the request is likely to affect adversely its own investigation, enforcement activities or …” „… actions in the Member State addressed. 5. Member States shall ensure that where obligations apply to UCITS …”

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

„… or management company. Chapter IX Obligations concerning information to be provided to investors …” „… enables technical solutions to ensure compliance with the formal rules. Pursuant to Art 82(2) of UCITSD …” „… Commission Regulation (EU) No 583/2010. Chapter IX Obligations concerning information to be provided to …”

Article 3 S. 1691-1695

„… obligations arising in connection with that system, serves as counterbalance to its broad scope. Art 2(n)-(p …” „… obligations of the failed institution. Otherwise, the chain reaction the directive aims to avoid might be …” „… netting’ (1997) 5 Journal of Financial Regulation and Compliance 161; Vereecken, 118. 4 Keller, 1271 …”

Article 18 Information requirements for issuers whose debt securities are admitted to trading on a regulated market S. 1183-1187

„… issuer in compliance with the principle of equal treatment laid down in paragraph 1. (5) The Commission …” „… requirements. II. Requirements for debt issuers Article 18 sets out a number of obligations on the issuer …” „… local/regional authorities) from the information obligations specified in Article 18(2), (3) and (4).15 A large …”

Foreword to Articles 24 to 30 Foreword to Arts 24 to 30 S. 155-157

„… Delegated Directive4 build, to a large extent, on the obligations created by the 2006 MiFID I Implementing …” „… requires enhancing regulatory obligations for investment firms. MiFID II’s investor protection regulations …” „… instruments and funds belonging to clients, product governance obligations and the rules applicable to the …”

Article 11 Risk-mitigation techniques for OTC derivative contracts not cleared by a CCP S. 1603-1611

„… the intragroup transaction concerned. 12. The obligations set out in paragraphs 1 to 11 shall apply to …” „… obligations if they were established in the Union, provided that those contracts have a direct, substantial …” „… and foreseeable effect within the Union or where such obligation is necessary or appropriate to …”

Overview of Articles 5-11 S. 894-895

„… relevant NCA, demonstrate compliance with the requirements set out in Arts 15, 18 and 19 of Delegated …” „… of disorderly markets. The disclosure obligation, on the other hand, aims at informing other market …” „… including a public disclosure obligation for short positions in sovereign debt, see Juurikkala, (2012) 9 …”

Article 79 Obligation to cooperate S. 379-381

„… 79 Obligation to cooperate 1. Competent authorities of different Member States shall cooperate with …” „… fulfil their obligation to cooperate with each other and ESMA for the purposes of this Directive and of …” „… supervision of compliance under Directive 2003/87/EC in order to ensure that they can acquire a consolidated …”

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

„… 941-1026 (2015-16); Gomber P, Clapham B, Lausen J and Panz S, ‘The MiFIR Trading Obligation: Impact on …” „… working paper no. 15, 2017. Article 28 Obligation to trade on regulated markets, MTFs or OTFs (1 …” „… declared subject to the trading obligation in accordance with the procedure set out in Article 32 and …”

Article 7 Authorisation of deferred publication S. 425-428

„… limit that would be deemed in compliance with the obligation to publish as close to real time as …” „… financial instruments and on transaction execution obligations in respect of certain shares on a trading …” „… obligation does not apply to those derivative transactions of non-financial counterparties which are …”

Article 78 General requirements S. 1675

„… establish adequate policies and procedures sufficient to ensure its compliance, including of its managers …” „… subject to the reporting obligation under Article 9. A trade repository shall grant service providers …”

Article 32 Reporting of infringements S. 865-868

„… obligations of the competent authorities. Inasmuch as Article 32 relates to data protection, it must be read …” „… compliance strategy. See Malte Wundenberg ‘Compliance in Wertpapierfirmen’ in Veil (ed), Europäisches …”

Article 16 Supplements to the prospectus S. 1009-1013

„… ) through (4) set out requirements when advertising is connected with the obligation to publish a prospectus …” „… obligation to publish a supplement to a prospectus may arise between the time when the prospectus is approved …” „… regarding when an obligation to prepare a supplement arises. Prospectus Amending Directive has solved this …”

Article 20 Issuers incorporated in third countries S. 1018-1020

„… responsible for carrying out the obligations provided for in this Directive and for ensuring that the …” „… prospectuses as mentioned in Article 14, any delegation of tasks relating to the obligations provided for in …” „… prevent competition. In any case, the final responsibility for supervising compliance with this Directive …”

Article 15 Advertisements S. 1007-1009

„… obligation to draw up a prospectus. 2. Advertisements shall state that a prospectus has been or will be …” „… competent authority of the home Member State shall have the power to exercise control over the compliance of …” „… ) through (4) set out requirements when advertising is connected with the obligation to publish a prospectus …”

Article 14 Prohibition of insider dealing and of unlawful disclosure of inside information S. 767-770

„… powers under Art 23 to ensure compliance, and may impose administrative sanctions or take other …” „… 2. Market Behaviour 768 Carsten Gerner-Beuerle 3 4 5 6 tional law subject to the obligation to …” „… contract giving rise to the obligation to acquire or sell a financial instrument and the transfer of title …”

Article 33 SME growth markets S. 217-221

„… prejudice to compliance by the investment firm or market operator operating the MTF with other obligations …” „… issuer shall not be subject to any obligation relating to corporate governance or initial, ongoing or ad …” „… subject to any obligation concerning its corporate governance or any disclosure obligations under the …”

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

„… factors; (b) the application of the obligation under paragraph 1 to transactions involving the use of …” „… : Commission Delegated Regulation (EU) 2017/587 (RTS 1):10 Art 12 (Post-trade transparency obligations), Art 13 …” „… execution obligations in respect of certain shares on a trading venue or by a systematic internaliser (OJ EU …”

Article 7 Conditions for authorisation S. 1328-1331

„… provide them with the information they require to monitor compliance with the conditions referred to in …” „… Obligations regarding management companies Art. 7 UCITSD Dirk Zetzsche and Dominik Nast 1329 (a) the …” „… company. If links exist to Third Countries, those Chapter III Obligations regarding management companies …”

Introduction S. 574-576

„… , and certain compliance duties (Arts 65 through 104 of the original version of the CARD) were …” „… impose more stringent or additional conditions and obligations. Overview of the structure of the CARD …” „… ) and debt securities (Arts 52 through 63). Title IV (Art 64) pertains to obligations of companies whose …”

Chapter 2 Conduct of business rules S. 1637-1643

„… resources and operational capacity to meet the obligations arising from participation in a CCP. Criteria …” „… . A CCP shall conduct, at least once a year, a comprehensive review of compliance with this Article by …” „… with their obligations shall remain with clearing members. 4. A CCP shall have objective and …”

Article 23 Third countries S. 1200-1204

„… under this Directive and its implementing measures. Chapter IV General obligations Art. 23 TD …” „… compliance’. 2 Commission Directive 2007/14/EC of 8 March 2007 laying down detailed rules for the …” „… . Chapter IV General obligations Art. 23 TD Wolf-Georg Ringe 1203 5 6 7 8 9 10 11 12 13 nancial reports …”

Article 1 Subject matter and scope S. 392-396

„… introduced volume cap may affect waivers.27 Additionally, under MiFID I, pre-trade transparency obligations …” „… obligations to non-equity instruments, even though the rules still differentiate between equity(-like)28 and …” „… , lower compliance costs and minimize negative effects on competition, especially in cross border …”

Article 38 Enabling of cross-border mergers S. 1371-1372

„… according to the instruments of incorporation and the legal provisions in force. Section 3 Obligations …” „… receiving UCITS confirming that, in accordance with Article 41, they have verified compliance of the …”

Article 106 Reporting of auditors to competent authorities S. 1458-1459

„… action is to be taken it is simply a reporting requirement as part of the auditor’s compliance report to …” „… the regulator. Art 106(2) of UCITSD ensures that the auditor can meet its obligation without risking …”

Article 14 a Remuneration policy S. 1338-1339

„… compliance with the management company’s duty to act in the best interest of the UCITS. 2. The remuneration …” „… risk taking which is inconsis- 1. 2. Chapter III Obligations regarding management companies Art. 14 …”

Article 14 Conduct of business rules S. 1337-1338

„… Obligations regarding management companies Art. 14 UCITSD Dirk Zetzsche and Dominik Nast 1337 1 2 to …” „… incorporation of the UCITS that they manage nor impair compliance with the management company’s duty to act in …”

Article 6 Exemption for monetary and public debt management activities and climate policy activities S. 670-673

„… of the monetary responsibilities of those third-country central banks from the obligations and …” „… to statutory obligations and have internal mechanisms in place that ensure, for example, the …” „… Commission in compliance with the second and third subparagraphs of Art 6(5).3 Furthermore, Art 6(6) empowers …”

Article 14 Authorisation of a CCP S. 1612-1613

„… this Regulation. Overview As the clearing, reporting and risk mitigation obligations also apply when …” „… , firms using a third country CCP for clearing are considered to be in compliance with EU law, provided …”

Article 18 Notification for cross-border services S. 1346-1347

„… compliance with paragraph 1. 3. A management company which pursues the activity of collective portfolio …” „… ; (b) the issuance and redemption of units and shares; Chapter III Obligations regarding management …”

Article 35 Establishment of a branch S. 227-233

„… compliance with certain obligations most of which relate to clients which can be expected to be located in …” „… by the branch within its territory comply with the obligations laid down in Articles 24, 25, 27, 28 …” „… the obligations under Articles 24, 25, 27, 28 of this Directive and Articles 14 to 26 of Art. 35 MiFID …”

Article 6 Scope of authorisation S. 37-38

„… compliance with the applicable law must be ensured by adding said requirements to the internal control system …” „… established, at the time of initial authorisation, all the necessary arrangements to meet its obligations …”

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

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 42 I. General features Purpose Along the general obligation for a yearly reporting obligation for …” „… Ringe 1125 1 2 Background The obligation for EU issuers to publish half-yearly financial information has …” „… professional investors, are exempted from this obligation by virtue of Article 8.6 Further optional exceptions …”

Article 11 Authorisation of deferred publication S. 442-450

„… limit that would be deemed in compliance with the obligation to publish as close to real time as …” „… obligations referred to in Article 10. That threshold shall be defined based on objective criteria specific to …” „… temporary suspension of the obligations referred to in Article 10, the relevant competent authority shall …”

Article 18 S. 590-591

„… information,3 suspension of the security or of related securities on other markets,4 non-compliance with …” „… where an issuer fails to comply with important obligations resulting from the admission to official …”

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

„… demonstrable grounds for believing that a UCITS … is in breach of the obligations’ under the UCITSD. The host …” „… for monitoring compliance with the UCITS are collected and reported. This is important and sometimes …”

Article 17 Information requirements for issuers whose shares are admitted to trading on a regulated market S. 1179-1183

„… compliance with the principle of equal treatment laid down in paragraph 1. (4) The Commission shall adopt, by …” „… Shareholder Rights Directive.2 The objective of this amendment was to avoid duplication of obligations without …” „… adopted in the end. II. Requirements for share issuers Article 17 sets out a number of obligations on the …”

Article 5 Exemption for buy-back programmes and stabilisation S. 661-670

„… monitors and assesses the notifications for completeness and accuracy and for compliance with the …” „… shall have as its sole purpose: (a) to reduce the capital of an issuer; (b) to meet obligations arising …” „… obligations arising from share option programmes, or other allocations of shares, to employees or to members …”

Article 34 Publication of decisions S. 869-874

„… ) Compliance Officer Bulletin 1, 12. Art. 34 MAR 2. Market Behaviour 870 Jörn Axel Kämmerer 1 Legislative …” „… measures taken against them. The exceptions to the obligation to publish decisions in MAD 2003 were …” „… compliance table – Exemption for market making activities and primary market operations under Regulation (EU …”

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

„… assessing compliance with the limits. Such methodologies shall establish criteria to determine which …” „… recordkeeping obligations for investment firms, transaction reporting, market transparency, admission of …” „… product to buyers or option writers who need to secure their obligations to their counterparties to accept …”

Article 2 Exemptions S. 10-18

„… exempt. (e) operators with compliance obligations under Directive 2003/87/EC who, when dealing in …” „… allowances entered into to fulfil obligations to provide liquidity on a trading venue, where such obligations …” „… direct electronic access to a trading venue are also subject to the obligations under the Directive.15 …”

Article 69 Supervisory powers S. 358-362

„… is not used unfairly or to prevent competition. The final responsibility for supervising compliance …” „… any obligation to transmit data records will likely interfere with, among other things, professional …” „… amendments thereto. 2. Member States shall ensure that where obligations apply to investment firms, market …”

Article 8 d Use of multiple credit rating agencies S. 1274-1276

„… ability of ESMA to supervise the credit rating agency’s compliance with obligations under this Regulation …”

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

„… out in the discharge of a prior obligation.13 These exemptions are now codified as safe harbours in …” „… of MAR is to establish a safe harbour. Actions carried out in compliance with Art 11 and the …” „… the criminal offence of unlawful disclosure. However, non-compliance with the market sounding regime …”

Article 4 Definitions S. 1471-1477

„… AIFM in the Union with regard to the non-EU AIFM’s obligations under this Directive; (v) ‘leverage …” „… responsible for ensuring compliance with this Directive. The AIFM shall be either: (a) an external manager …” „… to ensure compliance with requirements of this Directive for which an AIF or another entity on its …”

Article 4 Definitions S. 22-34

„… requirements and supervision, conduct of business obligations and organisational requirements that are ‘at …” „… the client. Ways in which the natural person can ensure compliance is to either outsource the handling …” „… of regulatory obligations. One may hesitate in this regard between the owner of the computer, the …”

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

„… investment firm possess the necessary knowledge and competence to fulfil their obligations under Article 24 …” „… ; (d) the investment firm complies with its obligations under Article 23. 5. The investment firm shall …” „… that set out the rights and obligations of the parties, and the other terms on which the investment …”

Article 104 Information exchange with monetary authorities, clearing houses; legislators S. 1454-1457

„… the protection of confidentiality and impose professional secrey obligations, as well as set out …” „… seeks to bring the extensive information exchange in compliance with European data protection law. II …”

Article 54 Approval of interoperability arrangements S. 1655-1658

„… interoperability arrangements to OTC derivatives before assessing the effect of the clearing obligation. 2. 1 …” „… an interoperability arrangement should not ‘impact on the compliance by the CCPs’. 2016 ESRB Final …”

Article 4 Uncovered position in a sovereign credit default swap S. 892-894

„… , a portfolio of assets or financial obligations the value of which is correlated to the value of the …” „… position must, upon the request of the relevant NCA, demonstrate compliance with the requirements set out …”

Introduction and overview S. 874-881

„… (cited as ESMA, List of administrative measures and sanctions); ESMA, Guidelines compliance table …” „… regime for net short positions in shares and sovereign debt comprising threshold-dependent obligations to …” „… developments. Chapter VI defines the role of the NCAs in terms of their powers as well as their obligations to …”

Article 8 Conditions for granting authorisation S. 1482-1485

„… describe the measures implemented by the AIFM to comply with its obligations under AIFMD. In addition to …” „… applying for the relevant authorisation, particularly compliance with minimum capital requirements, a fit …”

Article 70 Sanctions for infringements S. 362-368

„… States shall ensure that where obligations apply to investment firms, market operators, data reporting …” „… Kämmerer 2 3 4 5 6 7 rective, it places an obligation on each Member State to adapt its laws to applying …” „… , ‘Market abuse update’ (2012) 93 Compliance Officer Bulletin 1, 12. Title VI Competent authorities Art …”

Article 13 Remuneration S. 1489-1492

„… competent authorities to assess whether AIFMs comply with their obligations under paragraph 1. I. General …” „… officers in the risk management and compliance function; (g) performance-related remuneration must be based …”

Article 5 c Over-reliance on credit ratings in Union law S. 1249-1252

„… with the obligations under Art 5 a CRA Regulation and why their own 5 Recital 9 CRA III Regulation. 6 …” „… it by control. 2. In order to ensure compliance with paragraph 1, a credit rating agency shall comply …”

Article 19 Managers’ transactions S. 808-824

„… . Instruction and documentation obligations In order to ensure compliance and raise awareness of the legal …” „… 9, as applicable, within a calendar year. (1 a) The notification obligation referred to in paragraph …” „… paragraph 1, and without prejudice to the right of Member States to provide for notification obligations …”

Introduction S. 941-951

„… Directive imposes three core obligations: (i) to draw up a prospectus, (ii) to seek approval for the …” „… is costly. It entails relevant compliance costs as well as costs related to the fact that it may …” „… (iii) the obligation of independent auditors and accountants to produce a report, particularly when a …”

Article 5 The prospectus S. 974-984

„… relevant securities and keeping the administrative burden and compliance and legal costs as low as possible …” „… needed for the investor to assess the securities. The disclosure obligation aims at providing information …” „… Regulation, there is no obligation to produce a summary of the prospectus whenever securities are not offered …”

Article 13 Approval of the prospectus S. 999-1004

„… has the obligation to seek approval from the national competent authority in the relevant home Member …” „… only entails a formal review of the compliance with all the requirements set out in the prospectus …”

Article 8 Insider dealing S. 692-705

„… compliance with their instructions and professional duties, notwithstanding the possession of non-public …” „… discharge of a prior obligation that has become due is not deemed to constitute ‘use’ of inside information …” „… carried out in the discharge of an obligation that has become due in good faith and not to circumvent the …”

Article 30 Administrative sanctions and other administrative measures S. 852-863

„… permitted to “opt out” of the basic obligation to impose administrative sanctions. 3. 6 Herlin-Karnell …” „… discrepancy between the sanctions regime in MAR and the vagueness of the MAD II (2014) obligation to establish …” „… , Tuson and Evans, ‘The EU market abuse Regulation’ (2016) Compliance Officer Bulletin 1, 16. 29 COM(2011 …”

Article 12 Market manipulation S. 730-756

„… sounding is under no obligation to assist a disclosing market participant in complying with the …” „… record-keeping obligations laid down in Art 11, since these are only addressed at disclosing parties …” „… . Consequently, the obligations imposed by the regulatory technical standards that envisage an involvement of a …”

Article 7 Inside information S. 673-692

„… obligations of Art 17 are triggered. Article 7 contains a general definition of inside information in its …” „… obligation pursuant to Art 17, a broader understanding would require issuers to respond to speculation and …” „… disclosure obligation.18 However, even though a number of Member States had provided such a two-fold …”

doi.org/10.5771/9783845279893

ZEuS Zeitschrift für Europarechtliche Studien

Access

Select

ZEuS Zeitschrift für Europarechtliche Studien

Browse Volumes: ZEuS Zeitschrift für Europarechtliche Studien

ZEuS Volume 27 (2024) Issue 2 ISSN Online: 2942-3589

Results in this title

Kalojan Hoffmeister The Dawn of Regulated AI: Analyzing the European AI Act and its Global Impact S. 182-212

„… jeopardize the integrity of criminal proceedings), which should be exempted from sharing obligations.Under …” „… 2/2024Requirements for high-risk AI systems (Section 2)2. 202Obligations for Providers, Deployers and …” „… classification system for high-risk AI applications, the fundamental rights impact assessment obligation, the new …”

Jan Helge Brask Pedersen The EU-US Data Privacy Framework and the Schrems Saga: Is there Light at the End of the Tunnel? S. 213-240

„… distinction between compliance with the fundamental rights in the Charter and with the requirements laid down …” „… Tunnel? ZEuS 2/2024 221vacy directive], including processing operations resulting from obligations imposed on …” „… adversarial principles “impl[y] an obligation to offer each party a reasonable opportunity of presenting its …”

doi.org/10.5771/1435-439X-2024-2

Elif Askin - Die extraterritoriale Anwendbarkeit des UN-Sozialpakts im Zeitalter der Globalisierung

Access

Select

Elif Askin

Die extraterritoriale Anwendbarkeit des UN-Sozialpakts im Zeitalter der Globalisierung

Series: Beiträge zum ausländischen öffentlichen Recht und Völkerrecht

Volume 306 2024

Results in this title

§ 6: Die extraterritoriale Achtungspflicht S. 187-232

„… EuropäischenMenschenrechtskonvention (Baden-Baden: Nomos 2003), 29 ff.806 Sepúlveda, The Obligations of ‘International Assistance and …” „… extraterritoriale Achtungs‐pflicht de lege lata aus dem UN-Sozialpakt als „minimum obligation“815anzuerkennen.816 Es …” „… Obligations under the ICESCR, in Nord. J. Int. Law, 90;Coomans, Some Remarks on the Extraterritorial …”

§ 8: Exkurs zur Frage der völkerrechtsunmittelbaren Bindung von Unternehmen an den UN-Sozialpakt S. 289-314

„… Recht auf Wasser ableiten ließen:„The human right to water entails an obligation of compliance on …” „… 1993); ders.,Human Rights Obligations of Non-State Actors; John H. Knox, Horizontal HumanRights Law, in …” „… , Rn. 42: „While only States areparties to the Covenant and thus ultimately accountable for compliance …”

§ 5: Konstruktion alternativer Jurisdiktionsmodelle für den UN-Sozialpakt S. 173-184

„… Langford et al. (Hrsg.), 25; Vandenhole, Extraterrit‐orial Human Rights Obligations, in LEHR, 820.§ 5 …” „… betroffenen Individuum im Ausland ab, die sie nach folgen‐den Kriterien definieren:„A State has obligations to …” „… 9.775 Ibid. Siehe auch Vandenhole, Extraterritorial Human Rights Obligations, in LEHR,820.B. Faktische …”

Entscheidungsverzeichnis S. 377-382

„… Aarhus-KonventionCompliance Committee, Findings and Recommendations with regard to Complianceby Ukraine with the Obligations …” „… EntscheidungsverzeichnisInternationale Gerichte und AusschüsseCompliance-Komitee der …”

doi.org/10.5771/9783748925088

1

2 3 ... 671