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Matthias Lehmann, Christoph Kumpan - European Financial Services Law

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

European Financial Services Law

Series: Kooperationswerke Beck - Hart – Nomos

Volume 2019

Results in this title

Article 81 Exchange of information S. 381-383

„… Regulation (EU) No 1095/2010. Article 81 Exchange of information 1. Competent authorities of Member States …” „… ) to exchange information as provided for in Article 81. 2. In the situations referred to in paragraph …” „… in Article 84 or to exchange information as provided for in Article 81 only where: (a) judicial …”

Article 103 Information exchange in certain cases S. 1453-1454

„… exchange of information within a Member State or between Member States, where that exchange is to take …” „… . Article 103 Information exchange in certain cases 1. Notwithstanding Article 102(1) to (4), Member States …” „… may authorise exchanges of information between a competent authority and: (a) authorities responsible …”

Article 33 Exchange of information with ESMA S. 868-869

„… financially, while others will not. Article 33 Exchange of information with ESMA 1. Competent authorities …” „… standards to determine the procedures and forms for exchange of information as referred to in this Article …” „… result from the disclosure of information. What is highly unsatisfactory is that the incentive is …”

Article 88 Exchange of information with third countries S. 387-389

„… 1095/2010, ESMA, may conclude cooperation agreements providing for the exchange of information with the …” „… professional secrecy at least equivalent to those required under Article 76. Such exchange of information must …” „… supervisory activities, for on-site verifications, and investigations and exchange of information between …”

Article 87 Cooperation and exchange of information with ESMA S. 386-387

„… investment firm or to the regulated market concerned. Article 87 Cooperation and exchange of information with …” „… had prepared a draft RTS specifying the duties to exchange information between the competent …” „… and the duty to exchange information (Articles 80 et seq.). National competent authorities may refuse …”

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

„… exchange of information between the competent authorities and the authorities or bodies responsible under …” „… below, see → Art 104. Article 104 Information exchange with monetary authorities, clearing houses …” „… exemptions for information exchanges in certain cases. II. Commentary Art 102(1), first paragraph of UCITSD …”

Article 102 Professional secrecy and confidentiality; supervisory cooperation and information exchange S. 1452-1453

„… agreements providing for exchange of information with the competent authorities of third countries, or with …” „… those referred to in this Article. Such exchange of information shall be intended for the performance of …” „… and 4 shall not preclude the exchange of information within a Member State or between Member States …”

Article 26 a Information exchange with and among national competent authorities of depositary, UCITS and management company S. 1364

„… details in Art 22 of Commission Delegated Regulation (EU) 2016/438). Article 26 a Information exchange …” „… is itself treated as a UCITS) exchanges the information with the competent authority of the …” „… laid down in the depositary contract. That information shall be exchanged between the competent …”

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

„… information exchange of competent authorities and ESMA; on-site visits; ESMA’s dispute resolution powers 1 …” „… carried out may refuse to exchange information as provided for in paragraph 2 or to act on a request for …” „… where: (a) such an investigation, on-the-spot verification or exchange of information might adversely …”

Article 39 Authorisation by merging UCITS’ national competent authority; information exchange with receiving UCITS’ national competent authority S. 1372-1373

„… Article 39 Authorisation by merging UCITS’ national competent authority; information exchange with …” „… following information to the competent authorities of its home Member State: (a) the common draft terms of …” „… version of the prospectus and the key investor information, referred to in Article 78, of the receiving …”

Article 26 Cooperation with third countries S. 846-849

„… . Competent authorities shall cooperate and exchange information with relevant national and third-country …” „… and exchange of information between competent authorities and regulatory authorities in other Member …” „… third countries concerning the exchange of information with supervisory authorities in third countries …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Article 80 381 Exchange of information …” „… . . . . . . . . . . . . . . . . . . . . . . .Article 86 384 Cooperation and exchange of information with ESMA …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 87 386 Chapter III Cooperation with third countries Exchange of information with third countries …”

Article 27 Professional secrecy S. 849-850

„… cooperate(s) with a third country. Article 25(8) refers to cooperation and exchange of information in general …” „… exchange of information” –, it leaves the competent authorities with discretion to conclude a cooperation …” „… 2003. II. Commentary Article 27 is relevant to the exchange of confidential information “between the …”

Article 25 Professional secrecy and cooperation between Member States S. 1208-1210

„… (EU) No 1095/2010, may conclude cooperation agreements providing for the exchange of information with …” „… when they conclude cooperation agreements. Such an exchange of information is subject to guarantees of …” „… professional secrecy at least equivalent to those referred to in this Article. Such an exchange of information …”

Article 106 S. 617-618

„… shall exchange any information useful for that purpose. I. General features Article 106 (previously Art …” „… NCAs and the exchange of information. This is of special importance to ensure effective enforcement of …” „… 107(2) sentence 2, any information thus exchanged shall be covered by the obligation of professional …”

Articles 26 to 32 S. 1291-1293

„… information between the various supervisory authorities. Informational exchanges are required both …” „… horizontally and vertically. Horizontally, Art 26 CRA Regulation provides for a broad exchange of information …” „… 27(1) CRA Regulation requires the exchange of information between ESMA and each national and sectoral …”

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

„… case of exchange-traded derivatives, either permitting access, under the condition that the relevant …” „… evidence on which its decision is based. (5) As regards exchange-traded derivatives, a trading venue which …” „… authority that it does not wish to be bound by this Article for exchange-traded derivatives included within …”

Article 79 Obligation to cooperate S. 379-381

„… other Member States. In particular, they shall exchange information and cooperate in any investigation …” „… accelerate cooperation, and more particularly exchange of information, Member States shall designate a single …” „… authorities which are designated to receive requests for exchange of information or cooperation pursuant to …”

Article 78 Data protection S. 378-379

„… shall exchange information and cooperate in any investigation or supervisory activities. Competent …” „… exchange of information, Member States shall designate a single competent authority as a contact point for …” „… to receive requests for exchange of information or cooperation pursuant to this paragraph. ESMA shall …”

Article 22 Professional secrecy and cooperation between authorities S. 1023-1025

„… exchange information and cooperate when an issuer has more than one home competent authority because of its …” „… exchange information, has been rejected or has not been acted upon within a reasonable time. Without …” „… exchange of information between competent authorities. Power is conferred on the Commission to adopt the …”

Index S. 1785-1803

„… investment firms MiFIR 24 1 et seq. – cooperation MiFIR 24 6 – information exchange MiFIR 24 6 – national …” „… waiver MiFIR 9 15 – of collateral EMIR 11 14 Exchange-traded funds MiFID II 49 14 et seq. Execution …” „… MiFIR 35-37 1-22 Access to CCP EMIR 8 2; MiFIR 35-37 1-22 Access to information – on non-discriminatory …”

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

„… conclude cooperation agreements providing for the exchange of information with the competent authorities or …” „… agreements. Such an exchange of information is subject to guarantees of professional secrecy at least …” „… equivalent to those referred to in this Article. Such an exchange of information shall be intended for the …”

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 4 S. 1039-1046

„… (‘PRIIP Delegated Regulation’)14 postulates that exchange-traded derivatives, OTC-derivatives, as well as …” „… 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 …”

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

„… segregated exchange of collateral with respect to OTC derivative contracts that are entered into on or after …” „… procedures that require the timely, accurate and appropriately segregated exchange of collateral with respect …” „… not covered by appropriate exchange of collateral. 5. The requirement laid down in paragraph 3 of this …”

Article 107 S. 618-620

„… duty to communicate with the other NCAs and the exchange of information. This is of special importance …” „… diverging decisions.2 Pursuant to Art 107(2) sentence 2, any information thus exchanged shall be covered by …” „… exchanging information as provided for in this Directive. Information thus exchanged shall be covered by the …”

Article 26 b Implementing acts S. 1364-1365

„… details in Art 22 of Commission Delegated Regulation (EU) 2016/438). Article 26 a Information exchange …” „… is itself treated as a UCITS) exchanges the information with the competent authority of the …” „… laid down in the depositary contract. That information shall be exchanged between the competent …”

Article 49 Tick sizes S. 292-296

„… tick size regimes in shares, depositary receipts, exchange-traded funds, certificates and other similar …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9 3. Tick size for exchange-traded funds …” „… size for shares, depositary receipts and exchange-traded funds), Art 3 (Average daily number of …”

Article 28 Data protection S. 850-851

„… Article 13 MAD 2003. II. Commentary Article 27 is relevant to the exchange of confidential information …” „… that Article 27(1) refers to “any information received, transmitted or exchanged pursuant to this …” „… Regulation”, we can therefore conclude that its provisions do not only apply to information exchanged between …”

Article 26 Replacement of depositary S. 1363-1364

„… Delegated Regulation (EU) 2016/438). Article 26 a Information exchange with and among national competent …” „… authority of the compartment (which is itself treated as a UCITS) exchanges the information with the …” „… authorities, on request, all information which it has obtained while performing its duties and that may be …”

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

„… Concerning Consultation and Cooperation and the Exchange of Information,36 and (d) be subject to a post-trade …” „… receipts, exchange-traded funds, certificates and other similar financial instruments and on transaction …” „… were concluded. That information shall be made public through an APA. 2. The information which is made …”

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

„… Nevertheless, only four Member States have made use of this possibility.17 Article 18 Information requirements …” „… . (2) The issuer shall ensure that all the facilities and information necessary to enable debt …” „… meetings of debt securities holders, the payment of interest, the exercise of any conversion, exchange …”

Article 2 Definitions S. 396-403

„… ) ‘exchange-traded fund’ or ‘ETF’ means an exchange-traded fund as defined in Article 4(1)(46) of Directive 2014/65 …” „… the meaning of Article 2(1) of Regulation (EU) No 648/2012; (32) ‘exchange-traded derivative’ means a …” „… non-euro currency;13 or (b) the transaction is a foreign-exchange operation, including operations carried …”

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

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 2. Information to be stored and transmitted …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 3. Information provider …” „… reporting. While the latter provides investors with real-time information about prices and other data …”

Article 29 Clearing obligation for derivatives traded on regulated markets and timing of acceptance for clearing S. 511-513

„… ) Indirect clearing arrangements with regard to exchange-traded derivatives are permissible provided that …” „… ensure the orderly winding up and execution of all derivatives transactions traded on exchanges. Art 29(1 …” „… 29(1) MiFIR, this obligation is not restricted to exchange traded derivatives, but concerns all cleared …”

Article 5 Volume Cap Mechanism S. 417-423

„… , exchange-traded funds, certificates and other similar financial instruments and on transaction execution …” „… 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 …”

Article 2 Definitions S. 1104-1114

„… issuer is required to disclose under their stock exchange rules.32 Information that is disclosed on a …” „… 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 …”

Article 2 Scope S. 650-654

„… underlying.7 Likewise, the price of an exchange-traded financial instrument could otherwise be manipulated to …” „… price, or the price of an exchange-traded instrument may be influenced through OTC transactions …” „… regulatory framework on insider dealing, the unlawful disclosure of inside information and market …”

Article 22 Providing information for the purposes of transparency and other calculations S. 482-487

„… firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other similar …” „… trading venue, see the commentary on → Art 20 mn 12.19 Article 22 Providing information for the purposes …” „… information from: (a) trading venues; (b) APAs; and (c) CTPs. 2. Trading venues, APAs and CTPs shall store the …”

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

„… respect of shares, depositary receipts, exchange-traded funds, certificates and other similar financial …” „… in shares, depositary receipts, exchange-traded funds, certificates and other similar financial …” „… request, provide all further information to the competent authority necessary to enable the competent …”

Article 4 Definitions S. 22-34

„… of the securities of the non-domiciled issuer; (46) ‘exchange-traded fund’ means a fund of which at …” „… assets; or (d) a foreign exchange rate or combination of foreign exchange rates; (44) ‘transferable …” „… issuer; (62) ‘durable medium’ means any instrument which: (a) enables a client to store information …”

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

„… different points in time.33 Exchange-Traded Commodities (ETC) are debt instruments and no derivatives.34 It …” „… cooperation arrangements including exchange of relevant data with each other in order to enable the monitoring …” „… information, including all relevant documentation, from persons about the size and purpose of a position or …”

Article 59 S. 610-612

„… if the related shares are already listed on the same stock exchange or on another regulated …” „… satisfied that holders have at their disposal all the information necessary to form an opinion concerning …” „… same stock exchange or on another regulated, regularly operating, recognised open market. Although the …”

Articles 34 to 35 S. 1293-1294

„… Art 32(1). Information exchanged between the authorities should, in principle, be regarded as …” „… Delegated Regulation (EU) 272/2012.5 Furthermore, the handling of confidential information is regulated. In …” „… third countries. The most important cooperation is between ESMA and the US Securities and Exchange …”

Article 10 S. 1065-1067

„… exchange-traded derivatives it is not necessary to continuously update a KID because the risks, rewards and costs …” „… Article 10 1. The PRIIP manufacturer shall review the information contained in the key information …” „… specifying: (a) the conditions for reviewing the information contained in the key information document; (b …”

Article 80 Cooperation between competent authorities in supervisory activities, for on-site verifications or investigations S. 381

„… Regulation (EU) No 1095/2010. Article 81 Exchange of information 1. Competent authorities of Member States …” „… standards to specify the information to be exchanged between competent authorities when cooperating in …” „… information required for the purposes of carrying out the duties Title VI Competent authorities Art. 81 …”

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

„… supervisory effectiveness and avoid the need to set up information exchange mechanisms between competent …” „… transmit the notifications, including all of the information they were provided with, to ESMA.13 ESMA …” „… , including the information set out in Art 4(3).14 While the first step of the reference data collection and …”

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

„… instruments, and within six months in the case of exchange-traded derivatives, either permitting access, under …” „… case of exchange-traded derivatives, either permitting access, under the condition that the relevant …” „… ESMA which other CCPs have access to the trading venue and ESMA will publish that information so that …”

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 23 Trading obligation for investment firms S. 487-492

„… investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other …” „… , taking into consideration cases such as: (a) non-addressable liquidity trades; or (b) where the exchange …” „… ). Commission Delegated Regulation (EU) (RTS 27):3 Art 3 (Publication of information on execution venue and …”

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

„… investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other …” „… public the information under paragraph 1 of this Article to investment firms which are obliged to publish …” „… real-time as technically possible. The temporal limits for publication of transaction information on a …”

Article 50 Synchronisation of business clocks S. 296-299

„… be established for exchange-traded funds that do not have shares or depositary receipts as their …” „… and the price range that corresponds to the price of the order.26 With regard to exchange-traded funds …” „… ) 2017/588 claims that all exchange-traded funds need to have the same tick-size rules based on a single …”

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

„… , (c) whether in the case of exchange-traded funds appropriate additional alternative arrangements to …” „… information which has been made public under Union law. 4. Member States shall ensure that regulated markets …” „… information required under paragraph 3 directly to any regulated market which has admitted the issuer’s …”

Article 4 Waivers for equity instruments S. 408-417

„… requirements for trading venues and investment firms in respect of shares, depositary receipts, exchange-traded …” „… public their information on bid and offer prices and the depth of trading interests to those investment …” „… trading venue to make public the information referred to in Article 3(1) for: (a) systems matching orders …”

Article 7 Authorisation of deferred publication S. 425-428

„… firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other similar …” „… 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 4 Notifications and list of financial instruments S. 657-661

„… the competent authority of the trading venue the information set out in the third subparagraph with …” „… shall contain the following information: (a) the names and identifiers of financial instruments which …” „… notifications promptly to ESMA, which publishes the information on its website (see Art 4(2)). The regime is …”

Article 9 Reporting obligation S. 1596-1600

„… and accurate information concerning the collateral exchanged between those counterparties. Accordingly …” „… : (i) for transactions that are not OTC derivatives transactions (exchange-tradc) d) 8 On this issue …” „… counterparty or a CCP shall not be considered in breach of any restriction on disclosure of information imposed …”

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

„… , depositary receipts, exchange-traded funds, certificates and other similar financial instruments and on …” „… 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 3 Pre-trade transparency requirements for trading venues in respect of shares, depositary receipts, ETFs, certificates and other similar financial instruments S. 403-408

„… investment firms in respect of shares, depositary receipts, exchange-traded funds, certificates and other …” „… 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 …”

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

„… Exchange-traded derivatives (ETD) remain within the ambit of Art 35-36 MiFIR. However, where ETD with a notional …” „… (a) to prevent any other CCP or trading venue from obtaining access to such information or rights …” „… standards to specify: (a) the information through licensing to be made available under paragraph 1(a) for …”

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

„… instruments as do those for exchange-traded derivatives. CESR’s guidelines11 and ESMA’s opinion12 concerning a …” „… shall ensure that all information received under the third paragraph aggregated in respect of all the …”

Article 58 S. 609-610

„… protection by way of information,6 in cases where physical form standards of the home Member State diverge …” „… already listed on the same stock exchange or on another regulated, regularly operating, recognised open …” „… adjust the minimum loan size under the specified circumstances. Article 59 1. Convertible or exchangeable …”

Article 30 Indirect clearing arrangements S. 513-517

„… clearing arrangements (1) Indirect clearing arrangements with regard to exchange-traded derivatives are …” „… 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 11 Market soundings S. 718-730

„… because it was felt that the exchange of additional information increased the risk of insider dealing and …” „… ) the details of the information related to the market sounding which were exchanged between the …” „… Article 11 Market soundings 1. A market sounding comprises the communication of information, prior …”

Introduction S. 574-576

„… shares, their listing on stock exchanges, and the disclosing related information: EU Directives viewed …” „… Parliament and the Council of 28 May 2001 on the admission of securities to official stock exchange listing …” „… and on information to be published on those securities (OJ L 184, 6.7.2001, p. 1-66) Bibliography …”

Article 25 Obligation to cooperate S. 844-846

„… implementing technical standards to determine the procedures and forms for exchange of information as referred …” „… particular, they shall exchange information without undue delay and cooperate in investigation, supervision …” „… shall also apply as regards the Commission in relation to the exchange of information relating to …”

Introduction S. 644-650

„… Exchange Act Rule 10b-510 to restrict the use of inside information. However, due to the non-statutory …” „… objective presentation of investment recommendations or other information recommending or suggesting an …” „… Regulation is that of ‘inside information’,5 which underlies both the prohibition of insider dealing in Arts …”

Article 40 Common draft terms of merger S. 1373-1374

„… and the receiving UCITS home Member State are satisfied with the proposed information to be provided …” „… shall request additional information within 10 working days of receiving the information referred to in …” „… , within 20 working days of submission of the complete information, in accordance with paragraph 2, whether …”

Article 105 Implementing legislation S. 1457-1458

„… information exchange in compliance with European data protection law. II. Overview All in all, data …” „… protection rules have done very little to reduce information exchange among competent authorities and …” „… application with regard to the procedures for exchange of information between competent authorities and …”

Article 104 a Data protection S. 1457

„… information exchange in compliance with European data protection law. II. Overview All in all, data …” „… protection rules have done very little to reduce information exchange among competent authorities and …” „… application with regard to the procedures for exchange of information between competent authorities and …”

Article 49 Withdrawal of registration S. 572-574

„… securities to official stock exchange listing and on information to be published on those securities (OJ L …” „… offering of shares, their listing on stock exchanges, and the disclosing related information: EU Directives …” „… G, ‘The European Regulation of stock exchanges: new perspectives’ (1999) 36 CMLR 569; Geradine P …”

Article 4 Exemptions from the obligation to publish a prospectus S. 969-974

„… exchange offer, provided that a document is available containing information which is regarded by the …” „… the information stated therein and in case of a base prospectus, for providing and filing final terms …” „… information in the prospectus, including all information incorporated by reference and, in case of a base …”

Article 42 Validation of valuation, merger-related payments, exchange ratio S. 1374-1375

„… The competent authorities shall not require that any additional information is included in the …” „… , information of unit-holders and other rights of unit-holders Article 41 Verification by depositary of merging …” „… , exchange ratio 1. The law of the merging UCITS home Member States shall entrust either a depositary or an …”

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

„… Regulation does not apply to transactions, orders or behaviour, in pursuit of monetary, exchange rate or …” „… European institutions, and national public bodies which act in pursuit of monetary, exchange rate, public …” „… non-discriminatory treatment of price-sensitive information.1 The impact of their activities on market transparency …”

Article 35 Conditions for the marketing in the Union with a passport of a non-EU AIF managed by an EU AIFM S. 1536-1539

„… arrangements on the exchange of information are in place between the competent authorities in the home Member …” „… established in order to ensure at least an efficient exchange of information, taking into account Article 50(4 …” „… exchange of information in tax matters, including any multilateral tax agreements. Where a competent …”

Article 34 Conditions for EU AIFMs which manage non-EU AIFs which are not marketed in Member States S. 1535-1536

„… in order to ensure at least an efficient exchange of information that allows competent authorities of …” „… the exchange of information are in place between the competent authorities in the home Member State of …” „… to ensure at least an efficient exchange of information, taking into account Article 50(4), that …”

Article 21 Powers S. 1020-1023

„… other Member States. In particular, they shall exchange information and cooperate when an issuer has …” „… . The competent authorities shall without delay provide ESMA with all information necessary to carry out …” „… authorities shall without delay provide ESMA with all information necessary to carry out its duties, in …”

Article 24 Cooperation with ESMA S. 843-844

„… forms for exchange of information as referred to in paragraph 2. ESMA shall submit those draft …” „… competent authorities of other Member States and ESMA. In particular, they shall exchange information …” „… Commission in relation to the exchange of information relating to commodities which are agricultural products …”

Article 39 Establishment of a branch S. 237-239

„… terrorism; (b) cooperation arrangements, that include provisions regulating the exchange of information for …” „… OECD Model Tax Convention on Income and on Capital and ensures an effective exchange of information in …” „… requirements for the branch leadership, – a tax information exchange treaty (following the standard of Article …”

Article 12 Market manipulation S. 730-756

„… 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 …” „… misleading information or providing false or misleading inputs in relation to a benchmark where the person …”

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

„… 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 …” „… The competent authority has to make the information available to ESMA on request.24 ESMA can also …”

Article 14 S. 586-587

„… required for admission. This may include the exchange of information, consultations with other NCAs or the …” „… authorities, any application for the admission of a security to official listing on a stock exchange situated …” „… application for admission is made in respect of a security already listed on an exchange in another Member …”

Article 84 Consultation prior to authorisation S. 383-384

„… provided for in Article 80; or (b) to exchange information as provided for in Article 81. 2. In the …” „… supervisory activity as provided for in Article 84 or to exchange information as provided for in Article 81 …” „… 1095/2010, without prejudice to the possibilities for refusing to act on a request for information provided …”

Article 41 Verification by depositary of merging and receicing UCITS S. 1374

„… The competent authorities shall not require that any additional information is included in the …” „… , information of unit-holders and other rights of unit-holders Article 41 Verification by depositary of merging …” „… , exchange ratio 1. The law of the merging UCITS home Member States shall entrust either a depositary or an …”

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

„… established in order to ensure at least an efficient exchange of information that allows the competent …” „… on Income and on Capital and ensures an effective exchange of information in tax matters, including …” „… (EU) No 1095/2010. 19. In case a competent authority rejects a request to exchange information in …”

Article 40 Conditions for the marketing in the Union with a passport of non-EU AIFs managed by a non-EU AIFM S. 1554-1558

„… at least an efficient exchange of information that allows the competent authorities to carry out …” „… Capital and ensures an effective exchange of information in tax matters including any multilateral tax …” „… standards to specify the procedures for coordination and exchange of information between the competent …”

Introduction S. 1563-1574

„… derivatives Markets, Netting, Asymmetric Information and Sharing of Default Risk through a Central …” „… ) 2016/2270 of 15 December 2016 on the equivalence of approved exchanges in Singapore in accordance with …” „… Implementing Decision (EU) 2016/2271 of 15 December 2016 on the equivalence of financial instrument exchanges …”

Article 10 S. 583-584

„… ) and (2) by way of an argumentum a maiore ad minus. Information about the financial position and …” „… . Heinze, margin no 85. 5 See Council Directive 82/121/EEC of 15 February 1982 on information to be …” „… published on a regular basis by companies the shares of which have been admitted to official stock-exchange …”

Article 4 Annual financial reports S. 1118-1124

„… 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 …” „… information to the public, comprising the issuer’s financial statements and management report. It should …”

Article 105 S. 616-617

„… necessary for the purpose of carrying out their duties and shall exchange any information useful for that …” „… stock exchange.2 Both models have their advantages and disadvantages.3 In practice, Member States have …” „… For a discussion see Mahoney, ‘The exchange as a regulator’, (1997) 83 Virginia Law Review 1453 et seq …”

Articles 32 to 41 S. 937-939

„… exchange information, especially information which is necessary to determine whether an exemption under Art …” „… cooperation agreements as well as exchanges among NCAs of information obtained from a supervisory authority in …” „… NCA, it has to designate which one shall be responsible for coordinating cooperation and exchange of …”

Article 48 Consequences of merger S. 1377-1380

„… shall determine the date on which a merger takes effect as well as the date for calculating the exchange …” „… exchange ratio (which must be a result of asset valuation) and the agreement on the future investment …” „… – an auditor or depositary – must be appointed to validate the exchange ratio and any merger related …”

Article 47 S. 599-600

„… ‘The offering of shares, their listing on stock exchanges, and the disclosing related information: EU …” „… providing the public with all appropriate information. Such an arrangement could also be, for example, an …” „… appropriate information is usually achieved through a requirement to state in the prospectus the number of …”

Article 8 S. 581-583

„… been admitted to official listing on a stock exchange situated or operating in one of the Member States …” „… the condition that the securities have already been admitted to official listing on a stock exchange …” „… facilitation of the admission to official stock exchange listing in other Member States and the …”

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

„… in the management of another entity of the same group. They shall exchange all information regarding …” „… market concerned. Article 87 Cooperation and exchange of information with ESMA 1. The competent …” „… specifying the duties to exchange information between the competent authorities (Article 80(3))1 which was …”

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

„… in Article 93(3); (c) the procedure for the exchange of information and the use of electronic …” „… , and procedures for on-the-spot verifications and investigations and the exchange of information …” „… information and documents which it is required pursuant to Chapter IX to provide to investors in its home …”

Article 19 Managers’ transactions S. 808-824

„… 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 …” „… ensure that the information that is notified in accordance with paragraph 1 is made public promptly 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 …” „… . Securities Clearing and Settlement 1672 Paola Lucantoni 8 9 10 11 (a) a mechanism for the exchange of …”

Article 47 Organisational requirements S. 264-268

„… ensured that the necessary information is readily available including, for example, information regarding …” „… between supply and demand and where all available information is reflected in the price, unhindered by …” „… , the Frankfurt Stock Exchange and Tradegate Exchange have implemented such single market makers for …”

Article 83 Refusal to cooperate S. 383

„… provided for in Article 80; or (b) to exchange information as provided for in Article 81. 2. In the …” „… supervisory activity as provided for in Article 84 or to exchange information as provided for in Article 81 …” „… 1095/2010, without prejudice to the possibilities for refusing to act on a request for information provided …”

Article 82 Binding mediation S. 383

„… provided for in Article 80; or (b) to exchange information as provided for in Article 81. 2. In the …” „… supervisory activity as provided for in Article 84 or to exchange information as provided for in Article 81 …” „… 1095/2010, without prejudice to the possibilities for refusing to act on a request for information provided …”

Article 95 Implementing legislation S. 1437-1438

„… in Article 93(3); (c) the procedure for the exchange of information and the use of electronic …” „… , and procedures for on-the-spot verifications and investigations and the exchange of information …” „… (ii) the key investor information shall be translated into an official language of the host state …”

Article 1 Scope and UCITS definition S. 1304-1317

„… the exchange of information between competent authorities, OJ 2010 L 176/16. 26 Commission Directive …” „… use, the level of information exchange among authorities, and the sanctions available for unlawful …” „… Information Documents?’, Zeitschrift für Bankrecht und Bankwirtschaft (ZBB) 2011, 169-179; Riassetto I, ‘La …”

Article 110 Cross-border services through a branch; on-site inspections S. 1463-1464

„… requires information exchange about circumstances ‘which may materially affect the ability of the …” „… activity is the proper enforcement of UCITSD. For that reason, competent authorities shall exchange …” „… information closely and jointly ensure that the information necessary for monitoring compliance with the UCITS …”

Article 49 Compartments deemed UCITS S. 1380-1381

„… (6) The unit-holders of the merging and receiving UCITS need to acquire the information specified …” „… early to allow for the calculation of the exchange ratio 5 days prior to the calculation date, pursuant …” „… to Art 45(1) of UCITSD. (8) At the calculation date the exchange ratio is fixed and subject to review …”

Article 44 Authorisation and applicable law S. 247-252

„… operator shall provide all information, including a programme of operations setting out, inter alia, the …” „… . General features Purpose Establishing a regulated market, i.e. a stock exchange, requires authorisation by …” „… ) MiFID II, is a category intended to include traditional stock exchanges. The detailed regulation of …”

Article 77 Recognition of trade repositories S. 1673-1675

„… (a) a mechanism for the exchange of information between ESMA and any other Union authorities that …” „… along with a corporation agreement on information exchange with ESMA. The effect of recognition is that …” „… establishing cooperation arrangements to access information on derivatives contracts held in Union trade …”

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

„… , competent authorities shall exchange information closely and jointly ensure that the information necessary …” „… cross-border fund management and requires information exchange about circumstances ‘which may materially affect …” „… all the information concerning the management and ownership of such management companies that is …”

Article 13 Assessment S. 61-63

„… that makes it possible to exercise effective supervision, effectively exchange information among the …” „… effective supervision, effectively exchange information and determine the allocation of responsibilities …” „… with regard to regulatory technical standards for an exhaustive list of information to be included by …”

Article 13 S. 585-586

„… any additional conditions required for admission. This may include the exchange of information …” „… securities to official listing on stock exchanges situated or operating in more than one Member State, or …” „… where an application for admission is made in respect of a security already listed on a stock exchange …”

Article 40 Obligation to provide information S. 239-240

„… requirements for the branch leadership, – a tax information exchange treaty (following the standard of Article …” „… 26 OECD, i.e. tax exchange on demand) between the branch Member State and the Third Country where the …” „… Obligation to provide information A third-country firm intending to obtain authorisation for the provision of …”

Article 93 Notification procedure S. 1433-1436

„… the exchange of information between competent authorities, OJ 2010 L 176/16. Commission Directive …” „… host Member State, in particular, the right of redemption, payouts and information. Level 2 and 3 …” „… right, the link to ‘unit-holders’ involves secondary market investors of UCITS exchange traded funds …”

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 …” „… is not a liquid market. (d) orders for the purpose of executing an exchange for physical; (e) package …” „… liquid market (Art 9(1)(c) MiFIR) . . . . . . . . . . . . . . . . . 13 5. Exchange for physical waiver …”

Article 19 S. 591-592

„… competent authority require any further information within that period, within six months of the applicant …” „… 's supplying such information. 3. Failure to give a decision within the time limit specified in paragraph 2 …” „… receipt of the application or, should the relevant NCA require any further information within that period …”

Article 22 Competent authority S. 1621-1623

„… forward any information that it receives from a CCP to ESMA and that the competent authority requests any …” „… information sought by ESMA that it cannot provide from the relevant CCP. Other amendments relating to the …” „… shall designate a single authority to be responsible for coordinating cooperation and the exchange of …”

Article 11 Penalties S. 1773-1774

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

Article 110 S. 621

„… securities to official stock exchange listing [1980] OJ L 100/1. 2 See Council Directive 82/121/EEC of 15 …” „… February 1982 on information to be published on a regular basis by companies the shares of which have been …” „… admitted to official stock-exchange listing [1982] OJ L 48/26. 3 See Council Directive 88/627/EEC of 12 …”

Article 10 Non-financial counterparties S. 1600-1603

„… billion in gross notional value for OTC foreign exchange derivative contracts; (e) EUR 3 billion in gross …” „… , counterparties are expected to use updated exchange rates every time they calculate the total position to be …” „… , inflation rates, foreign exchange rates or credit risk; c) it qualifies as a hedging contract pursuant to …”

Article 1 Subject matter and scope S. 392-396

„… exchange and financial stability policy which that member of the ESCB is legally empowered to pursue and …” „… regulatory technical standards to specify the monetary, foreign exchange and financial stability policy …” „… central bank carrying out monetary policy, foreign exchange and financial stability operations, the …”

Article 111 S. 621-622

„… securities to official stock exchange listing [1980] OJ L 100/1. 2 See Council Directive 82/121/EEC of 15 …” „… February 1982 on information to be published on a regular basis by companies the shares of which have been …” „… admitted to official stock-exchange listing [1982] OJ L 48/26. 3 See Council Directive 88/627/EEC of 12 …”

Article 39 Conditions for the marketing in the Union with a passport of EU AIFs managed by a non-EU AIFM S. 1552-1554

„… notification shall comprise the documentation and information set out in Annex III. 3. No later than 20 working …” „… intends to market. That notification shall comprise the documentation and information set out in Annex IV …” „… third country where the non-EU AIF is established in order to ensure at least an efficient exchange of …”

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

„… the information immediately to the competent authorities of the trading venues concerned (Art 16(4 …” „… information (1) An issuer shall inform the public as soon as possible of inside information which directly …” „… concerns that issuer. The issuer shall ensure that the inside information is made public in a manner which …”

Introduction to Chapter IV S. 236-237

„… regulating the exchange of information for the purpose of preserving the integrity of the market and …” „… effective exchange of information in tax matters, including, if any, multilateral tax agreements; (f) the …”

Article 10 Competent authorities S. 1771-1773

„… exchange of information (point a), to take “all appropriate measures … with a view to facilitating the …” „… all information received from the competent authorities of the Member States (point f). Furthermore …” „… , Art 24 of the PSD1 (replaced by Art 26 of PSD2), which establishes basic rules on the exchange of …”

Article 109 S. 620-621

„… securities to official stock exchange listing [1980] OJ L 100/1. 2 See Council Directive 82/121/EEC of 15 …” „… February 1982 on information to be published on a regular basis by companies the shares of which have been …” „… admitted to official stock-exchange listing [1982] OJ L 48/26. 3 See Council Directive 88/627/EEC of 12 …”

Articles 20-41 Art. 20-41 S. 592-593

„… relevant NCA require any further information within that period, within six months of the applicant …” „… supplying such information. Judicial recourse in case of failure to give a decision Art. 19(3) provides that …” „… Exchange of the United Kingdom and the Republic of Ireland Ltd., Ex parte Else (1982) Ltd. [1993] Q.B. 534 …”

Article 42 Conditions for the marketing in Member States without a passport of AIFs managed by a non-EU AIFM S. 1560-1561

„… country where the non-EU AIF is established in order to ensure an efficient exchange of information that …” „… agreements for the exchange of information must be in place between the competent authorities in the …”

Article 21 Depositary S. 1504-1512

„… State of the AIFM, have signed cooperation and exchange of information arrangements with the competent …” „… effective exchange of information in tax matters including any multilateral tax agreements; (e) the …” „… appropriate agreements on cooperation, exchange of information and tax in place between the state in which the …”

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

„… 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 …” „… reporting services are an important source of such information. These services increase market transparency …”

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 42 Provision of services at the exclusive initiative of the client S. 242-246

„… – Article 24 MiFID (general principles and information to clients), – Article 25 MiFID (Assessment …” „… general principles and information to clients adopted by Member States, in exceptional cases, subject to …” „… by an ETF one share belonging to a stock-exchange segment; Another share belonging to a different …”

Article 76 Cooperation arrangements S. 1673

„… (a) a mechanism for the exchange of information between ESMA and any other Union authorities that …” „… establishing cooperation arrangements to access information on derivatives contracts held in Union trade …” „… information on derivatives contracts held in Union trade repositories that these authorities need to fulfil …”

Article 46 General provisions S. 560-566

„… 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 …” „… country. Art. 46 MiFIR 1. Security Markets and Services 560 Dirk Zetzsche The information in the first …”

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

„… UCITSD sets out obligations regarding the information exchange between the competent authorities. II …” „… of all information that is required in accordance with this Directive, other Community law, the …” „… competent authority to forward the information received from the management company to the feeder UCITS …”

Article 68 Mandatory disclosure instruments S. 1409-1410

„… the information exchange between the competent authorities. II. Overview Art 67 of UCITSD ensures the …” „… , measure, observation of non-compliance with the conditions of this Chapter or information reported …” „… sound flow of information in case the master UCITS’ competent authority imposes any decision, measure …”

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

„… Authorisation by merging UCITS’ national competent authority; information exchange with receiving UCITS …” „… information to the competent authorities of its home Member State: (a) the common draft terms of the proposed …” „… prospectus and the key investor information, referred to in Article 78, of the receiving UCITS, if …”

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 …” „… intermediaries and insurance undertakings. Member States shall require that competent authorities exchange any …” „… information which is essential or relevant to the exercise of their functions and duties. Article 69 …”

Article 43 Disclosures to unit-holders after merger authorisation S. 1375-1376

„… merging and receiving UCITS to provide appropriate and accurate information on the proposed merger to …” „… proposal on their investment. 2. That information shall be provided to unit-holders of the merging and of …” „… under Article 45(1). 3. The information to be provided to unit-holders of the merging and of the …”

Article 49 S. 601-602

„… shares are to be distributed to the public through the stock exchange. The rationale for this exception …” „… will be distributed through the stock exchange within a short period. With respect to the term …” „… publication of the relevant information in the prospectus.8 Article 50 1. For the admission to official …”

Article 47 Equivalence decision S. 566-571

„… specify at least: (a) the mechanism for the exchange of information between ESMA and the competent …” „… authorities of third countries concerned, including access to all information regarding the non-Union firms …” „… Art. 47 MiFIR 1. Security Markets and Services 566 Dirk Zetzsche comply with the information …”

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

„… to be found in the US Securities Act, Securities Exchange Act, Matthias Lehmann 1 1 Investment …” „… protection of investors,4 in particular by overcoming information asymmetries. Traders often have crucial …” „… information about the issuer and the products, which investors lack. This creates inefficiencies and could …”

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

„… 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 …” „… Regulation (EU) 2017/583.6 Information relating to each component of a package transaction must be made …”

Article 25 Obligation to maintain records S. 494-495

„… for cooperation and exchange of information between the NCAs. For the cooperation with ESMA, the …” „… the duty to provide information (Art 25(6) MiFID II) or to not discriminate with regard to market …” „… information and details of the identity of the client, and the information required under Directive 2005/60/EC …”

Article 9 S. 583

„… ) and (2) by way of an argumentum a maiore ad minus. Information about the financial position and …” „… . Heinze, margin no 85. 5 See Council Directive 82/121/EEC of 15 February 1982 on information to be …” „… published on a regular basis by companies the shares of which have been admitted to official stock-exchange …”

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 …” „… payments to unit-holders, repurchasing or redeeming units and making available the information which UCITS …” „… information. Level 2 and 3 measures ESMA’s Q&A on the application of the UCITS Directive, ESMA34-43-392. II …”

Article 5 S. 1046-1048

„… 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 …” „… information document by the PRIIP manufacturer or the person selling a PRIIP to the competent authority for …”

Article 64 Conversion disclosures and procedures S. 1405-1407

„… following information to its unit-holders: (a) a statement that the competent authorities of the feeder …” „… ) the key investor information referred to in Article 78 concerning the feeder and the master UCITS; (c …” „… costs; that right shall become effective from the moment the feeder UCITS has provided the information …”

Article 57 Notification of and consultation with competent authorities prior to registration S. 1659

„… competent authority shall exchange all information that is necessary for the registration of the trade …” „… trade repository is to provide additional information. After assessing an application as complete, ESMA …”

Article 56 Application for registration S. 1659

„… competent authority shall exchange all information that is necessary for the registration of the trade …” „… trade repository is to provide additional information. After assessing an application as complete, ESMA …”

Article 46 S. 598-599

„… that dealing is made open and proper by providing the public with all appropriate information. 3. The …” „… and dealing is done openly and properly by providing the public with all appropriate information. Such …” „… outstanding payments.4 Ensuring that the public has the appropriate information is usually achieved through a …”

Article 100 Consumer complaints and alternative dispute resolution S. 1448-1449

„… jurisdiction is listed.2 Article 101 Cooperation and information exchange of competent authorities and ESMA …” „… laws of the Member States. FIN-NET runs a website where information concerning its members and …” „… each other with the information required for the purposes of carrying out their duties under this …”

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 …” „… intermediaries and insurance undertakings. Member States shall require that competent authorities exchange any …” „… information which is essential or relevant to the exercise of their functions and duties. Article 69 …”

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 …” „… specific supervisory tasks may, in particular, include the power to carry out requests for information in …” „… the performance of the task; and (c) the transmission of necessary information by and to ESMA. 3. In …”

Article 85 Powers for host Member States S. 384

„… in the management of another entity of the same group. They shall exchange all information regarding …” „… to provide the information necessary for the monitoring of their compliance with the standards set by …”

Article 26 Precautionary measures S. 1210-1211

„… third-country cooperation, Article 25(4) allows both Member States and ESMA to conclude information exchange …” „… all information required to allow ESMA fulfil its obligations under the TD. To facilitate …” „… , ESMA was introduced as a recipient of information. Context The provision stands in context with the …”

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

„… on-the-spot verifications and investigations and the exchange of information between competent authorities, OJ …” „… restriction on disclosure of information imposed by contract or by any legislative, regulatory or …” „… submission of an application for authorisation which provides all the information required. 3. Member States …”

Article 30 S. 1095-1096

„… and information exchanges between national competent authorities and the competent ESAs. Article 29 …” „… applies rules on the format and content of the key information document, as laid down in Articles 78 to 81 …” „… Commission shall review this Regulation. The review shall include, on the basis of the information received …”

Article 41 Conditions for managing AIFs established in Member States other than the Member State of reference by non-EU AIFMs S. 1558-1560

„… established in order to ensure an efficient exchange of information that allows competent authorities of the …” „… . notifications in case of a material change to any of the information submitted by the non-EU AIFM in connection …” „… communicate the following information to the competent authorities of its Member State of reference: (a) the …”

Article 29 S. 1093-1095

„… collaboration and information exchanges between national competent authorities and the competent ESAs. Article …” „… information regarding all administrative sanctions and measures imposed in accordance with Article 22 and …” „… Article 24(2). 3. The ESAs shall publish the information referred to in this Article in their annual …”

Article 18 College S. 1615-1616

„… exchange of information, including requests for information pursuant to Article 84; (c) agreement on the …” „… member of the college may request from the college any information relevant for the performance of its …”

Article 3 Short and long positions S. 888-892

„… by way of any index, basket of securities or any interest in any exchange traded fund or similar …” „… publicly available information as to the composition of the relevant index or basket of securities, or of …” „… the interests held by the relevant exchange traded fund or similar entity. In calculating such a short …”

Article 33 Conditions for managing EU AIFs established in other Member States and for providing services in other Member States S. 1533-1535

„… in order to ensure at least an efficient exchange of information that allows competent authorities of …” „… information to the competent authorities of its home Member State: (a) the Member State in which it intends to …” „… the following information in addition to that referred to in paragraph 2: (a) the organisational …”

Article 1 Subject matter and scope S. 623-624

„… sanctions for insider dealing, for unlawful disclosure of inside information and for market manipulation to …” „… ) transactions, orders or behaviours carried out in pursuit of monetary, exchange rate or public debt management …” „… information’ means information within the meaning of Article 7(1) to (4) of Regulation (EU) No 596/2014; (5 …”

Article 17 Procedure for granting and refusing authorisation S. 1613-1615

„… the opinion referred to in Article 19; (b) the exchange of information, including requests for …” „… authority of the Member State where it is established. 2. The applicant CCP shall provide all information …” „… competent authority shall immediately transmit all the information received from the applicant CCP to ESMA …”

Article 31 Exercise of supervisory powers and imposition of sanctions S. 863-865

„… requires the authorities to, at least, exchange statistical information about sanctions imposed by each …” „… . The provision is linked to the duty to share information set out in Article 25(1). Cooperation …” „… procedure without prejudice to disclosure of information being required by national law in the context of …”

Article 12 Assessment procedures S. 58-61

„… exercise effective supervision, effectively exchange information among the competent authorities and …” „… 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 …”

Article 58 Examination of the application S. 1659-1660

„… competent authority shall exchange all information that is necessary for the registration of the trade …” „… trade repository is to provide additional information. After assessing an application as complete, ESMA …”

Article 55 Registration of a trade repository S. 1658-1659

„… . ESMA and the relevant competent authority shall exchange all information that is necessary for the …” „… set a deadline by which the trade repository is to provide additional information. After assessing an …”

Article 2 Definitions S. 883-888

„… in any exchange traded fund or similar entity, shall be determined by the natural or legal person in …” „… question acting reasonably having regard to publicly available information as to the composition of the …” „… relevant index or basket of securities, or of the interests held by the relevant exchange traded fund or …”

Article 5 Equivalence and certification based on equivalence S. 1246-1248

„… accordance with paragraph 6. Such arrangements shall specify at least: (a) the mechanism for the exchange of …” „… information between ESMA and the relevant supervisory authorities of the third countries concerned; and (b …” „… European Parliament and of the Council with regard to regulatory technical standards on information for …”

Article 2 Definitions S. 624-627

„… 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 …” „… activities in the pursuit of monetary, exchange rate or public debt management policy, the EU’s climate …”

Article 32 Reporting of infringements S. 865-868

„… others will not. Article 33 Exchange of information with ESMA 1. Competent authorities shall provide ESMA …” „… 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 108 Delineation of supervisory powers S. 1460-1462

„… on-the-spot verifications and investigations and the exchange of information between competent authorities, OJ …” „… taken, even if negative. Since consumers face disincentives to sue, including information asymmetry and …” „… all the information concerning the management and ownership of such management companies that is …”

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

„… Section II Information for holders of securities admitted to trading on a regulated market Article …” „… 17 Information requirements for issuers whose shares are admitted to trading on a regulated market (1 …” „… information necessary to enable holders of shares to exercise their rights are available in the home Member …”

Article 8 Insider dealing S. 692-705

„… the client’s order is more likely to be inside information, the more defined these characteristics …” „… are.116 The price sensitivity of the information is influenced by the same factors. Evidently, only an …” „… of the information also depends on the liquidity of the market, the bid-ask spread, the execution …”

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

„… 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 …” „… information and details of the identity of the client, and the information required under Directive 2005/60/EC …”

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

„… management company in a different Member State establishes a branch, the information exchange between the …” „… to provide services, to provide the information necessary for the monitoring of their compliance with …” „… company the information referred to in this paragraph. 3. Where the competent authorities of a management …”

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

„… supervision, effectively exchange information among the competent authorities and determine the allocation of …” „… 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 …”

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

„… takeover by means of an exchange offer, provided that a document is available containing information which …” „… 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 …”

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

„… , including not only stock exchanges (regulated markets) but also alternative trading systems, had resulted in …” „… 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 …”

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

„… shall specify at least: (a) the mechanism for the exchange of information between ESMA and the competent …” „… emergency situations referred to in Article 24, based on the available information at the time. Article 24 …” „… ESMA. The applicant CCP shall provide ESMA with all information necessary for its recognition. Within …”

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 28 b Sanctioning powers S. 1219-1222

„… the issuer to make public, within the required time limit, information required under the national …” „… requirements to publish information under Articles 14 and 16. Further, all violations of voting rights …” „… exchange rate on the date of entry into force of Directive 2013/50/EU of the European Parliament and of the …”

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 …” „… for making public the information referred to in paragraph 1 to investment firms which are obliged to …”

Article 69 Supervisory powers S. 358-362

„… to avoid conflict of interest and so that information obtained from carrying out the delegated tasks …” „… intermediaries and insurance undertakings. Member States shall require that competent authorities exchange any …” „… information which is essential or relevant to the exercise of their functions and duties. Article 69 …”

Article 113 S. 622-623

„… disclosure of inside information and for market manipulation to ensure the integrity of financial markets in …” „… monetary, exchange rate or public debt management policy in accordance with Article 6(1) of Regulation (EU …”

Article 4 Use of credit ratings S. 1242-1246

„… exchange of information between ESMA and the relevant supervisory authority of the credit rating agency …” „… commissioned or the rated entity provided information for that rating. The term is, therefore, applicable to …” „… includes clear and prominent information stating whether or not such credit ratings are issued by a credit …”

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 …” „… exchange between the competent authorities of home and host Member State should take place in a language …” „… Member State may agree to the information being provided in an official language of both Member States.7 …”

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

„… country where the non-EU AIF is established in order to ensure an efficient exchange of information that …” „… AIFM shall provide its supervisory authorities with information about the identity of those entities …”

Article 52 Diversification S. 1389-1391

„… Commission and ESMA shall immediately forward that information to the other Member States together with any …” „… comments they consider appropriate and shall make the information available to the public on their website …” „… . Such communications may be the subject of exchanges of views within the European Securities Committee …”

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

„… 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 …” „… must also make the information public.19 Reporting obligations of traders The NCA cannot fulfil its …”

Article 21 Review and evaluation S. 1617-1621

„… a single authority to be responsible for coordinating cooperation and the exchange of information …” „… terms of circulation of information, between the CCP’s national competent authority, ESMA and the …” „… and that ESMA and the college are informed of any additional information the competent authority has …”

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 …”

Articles 27 to 31 S. 934-937

„… NCA, it has to designate which one shall be responsible for coordinating cooperation and exchange of …” „… information between the Commission, ESMA and the NCAs of the other Member States. Powers of competent …” „… information from any person and if necessary summon and question a person in order to obtain information, (c …”

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 …” „… stock exchanges (regulated markets) and less regulated (regular) MTFs. The level of investor protection …”

Article 15 Execution of client orders S. 458-463

„… that financial instrument.30 The information regarding class determinations must be made public to all …” „… definition of a systematic internaliser.2 Competent authorities must relay the information to ESMA, which …” „… change to the status of a systematic internaliser. A notification must contain at least the information …”

Article 7 Inside information S. 673-692

„… to ‘beat the news’, for example because the information has appeared on the stock exchange ticker or …” „… policies, which rules out individuals pursuing private goals. Chapter 2 Inside information, insider dealing …” „… , unlawful disclosure of inside information and market manipulation Article 7 Inside information 1. For the …”

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 …”

Chapter 1 Organisational requirements S. 1628-1637

„… structure that makes it possible to exercise effective supervision, to effectively exchange information …” „… CCP shall maintain information technology systems adequate to deal with the complexity, variety and …” „… and confidentiality of the information maintained. 7. A CCP shall make its governance arrangements …”

Article 35 a Civil Liability S. 1294-1301

„… by that credit rating and the infringement was not caused by misleading and inaccurate information …” „… provided by the issuer to the credit rating agency, directly or through information publicly available. 2 …” „… . It shall be the responsibility of the investor or issuer to present accurate and detailed information …”

Article 43 Marketing of AIFs by AIFMs to retail investors S. 1561-1563

„… ). Furthermore, appropriate cooperation agreements for the exchange of information must be in place between the …”

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

„… system, avoidance of conflicts of interest, billing and information exchange with public authorities.1 …” „… Disclosure of information about the services provided 1. A clearing firm shall publish the conditions under …” „… protection and of the costs associated with the different levels of segregation it provides. Information on …”

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 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 …” „… the EU under MiFIR (see below comment → mn 10) 1. 2. 3. 1 Sec. 2(h)(8) Commodity Exchange Act (CEA) (7 …”

Article 20 Specific requirements for OTFs S. 145-149

„… also a systematic internaliser, it must be ensured that there is no exchange of information about …” „… information explaining its use of matched principal trading. The competent authority shall monitor an …”

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 13 Remuneration S. 1489-1492

„… participation in the AIF granted in exchange for services by Identified Staff. The principles to be observed in …” „… information on the total remuneration that the AIFM paid to its staff, the number of beneficiaries and any …”

Article 1 Scope S. 6-10

„… ,12 which is a stringently regulated and supervised segment of a stock exchange. The operation of an …” „… reporting service providers.14 These are three kinds of information transmitters: (1) approved publication …”

Article 17 Algorithmic trading S. 120-134

„… Member State of the investment firm may, at any time, request further information from an investment firm …” „… trading and without undue delay, communicate the information referred to in the second subparagraph that …” „… , communicate without undue delay the information referred to in the fourth subparagraph that it receives from …”

Article 12 Restrictions on uncovered short sales in shares S. 910-914

„… concerning the exchange of information with the relevant NCA.29 17 That is, for shares that meet 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 …” „… , increasing the exchange of goods and services within the internal market. These secondary objectives are …”

Article 16 Organisational requirements S. 65-120

„… or control the exchange of information between relevant persons engaged in activities involving a …” „… risk of a conflict of interest where the exchange of that information may harm the interests of one or …” „… appropriate information on the financial instrument and the product approval process, including the identified …”

Article 7 Minimum information S. 987-990

„… as set out in the Prospectus Directive. Article 7 Minimum information 1. Detailed delegated acts …” „… regarding the specific information which must be included in a prospectus, avoiding duplication of …” „… information when a prospectus is composed of separate documents, shall be adopted by the Commission in …”

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

„… the dissemination of regulated information. Concerning the former, the Commission has made ample use …” „… added new powers for ‘rules to ensure the interoperability of the information and communication …” „… technologies’ used by the OAMs and ‘access to regulated information at the Union level, referred to therein …”

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

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

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

„… compared to larger issuers and should disclose sufficient information for investors to take their …” „… across the EU. The minimum information and format of an EU Growth prospectus has not been defined yet …” „… the information given in a prospectus attaches at least to the issuer or its administrative …”

Article 76 Professional secrecy S. 377-378

„… professional secrecy. They shall not divulge any confidential information which they may receive in the course …” „… being compulsorily wound up, confidential information which does not concern third parties may be …” „… or legal persons other than competent authorities which receive confidential information pursuant to …”

Article 71 Disclosure of fund rules, instruments of incorporation S. 1413-1414

„… prominent statement. The management company must also provide supplementary information required under Art …” „… to facilitate the centralisation of information for investors. For that reason, useful corporate …” „… , Guidelines on ETFs and other UCITS issues, para 15. Chapter IX Obligations concerning information to be …”

Article 26 Obligation to report transactions S. 495-498

„… 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 …” „… request, any information reported in accordance with this Article. (2) The obligation laid down in …”

Article 23 Precautionary measures S. 1025-1027

„… information to be exchanged between authorities at EU and national levels and ITS related to procedural …” „… ESMA and provide ESMA, without delay, all necessary information to carry out its duties; and (ii) Art …” „… information which is subject to professional secrecy and which may not be disclosed to any other person or …”

Article 70 Disclosures on categories and volatility of assets, risk management S. 1412-1413

„… II. Commentary Art 69(1) and (2) of UCITSD set out a basic schedule of the information necessary …” „… understandable explanation of the fund’s risk profile and information concerning the remuneration policy. The …” „… supplementary information relating to the quantitative limits that apply in the risk management of the UCITS, to …”

Article 77 Relations with auditors S. 378

„… 4. Any confidential information received, exchanged or transmitted pursuant to this Directive or to …” „… transmitting confidential information in accordance with this Directive or with Regulation (EU) No 600/2014 and …” „… or body or natural or legal person that communicated the information. 5. This Article shall not …”

Article 16 Exemption where the principal trading venue is in a third country S. 921-924

„… regulation requires the relevant NCA9 (as defined in Art 2(j)(v) SSR) to use the best available information …” „… , and provides a non-exhaustive list of sources or types of information which may be used for the …” „… 5 licly available information in preference to other sources of information, (b) the information …”

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

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11 2. Information to be stored and transmitted …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15 3. Information provider …” „… reporting. While the latter provides investors with real-time information about prices and other data …”

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 1 Purpose and scope S. 951-958

„… → Art 3 below for more information. Legislative history During the negotiations leading to the 2003 …” „… In this example, information about the previous offers has already been disclosed to the public …” „… ’ protection. Indeed, they would be left with less information to take an investment decision, even if it will …”

Article 2 Definitions S. 1751-1755

„… 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 …” „… Art. 2(28) above is only used in the Annex in relation to data that must be exchanged between payment …”

doi.org/10.5771/9783845279893

Roman Petrov - Exporting the Acquis Communautaire through European Union External Agreements

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Roman Petrov

Exporting the Acquis Communautaire through European Union External Agreements

Series: Heidelberger Schriften zum Wirtschaftsrecht und Europarecht

Volume 64 2011

Results in this title

Exchange of information S. 220-224

„… 220 3.3.2. Exchange of information The exchange of information is one of the most frequently …” „… . EU external agreements envisage various methods of information ex*change. Similar to what has been …” „… argued above, we believe that the procedures of information exchange are directly linked to the aims of …”

No title S. 293-313

„… closely as possible’ before and after the meetings of EU experts; - the exchange of information procedure …” „… usage of the EC stan-- Informal exchange of information concerning the functioning of the EC policies …” „… ; - perspective to conclude mutual recognition agreements; - Informal exchange of information concerning the …”

Formal/informal involvement of third countries in the EU decision-making process S. 214-220

„… EU law, however, in contrast, the EC*Swiss information exchange procedure means that Switzerland must …” „… The information exchange procedure allows Turkey with the opportunity to be informed about any legal …” „… options for the mutual exchange of information, and technical/financial assistance, to encourage the …”

Technical, administrative, and financial assistance on behalf of the EU to third countries S. 224-230

„… exchange of information and the provision of financial and technical assistance to third countries all with …” „… technical assistance covers the following activities: the exchange of ex*perts, the exchange of experience …” „… and know*how, the provision of early information es*pecially on relevant legislation, the organisation …”

Adoption of the acquis communautaire by the Ukrainian judiciary S. 241-247

„… exchange of in*formation and cooperation with courts in the EU. 185 See “The Rule of Law in Ukraine …” „… transpar*ency and information support (the creation of an electronic database of all na*tional court decisions …” „… signed a working agreement with FRONTEX (the European Border Exchange Agency) which allows better …”

The European Neighbourhood Policy and its impact on the adoption of the acquis communautaire by the judiciary in Ukraine S. 238-241

„… exchange of in*formation and cooperation with courts in the EU. 185 See “The Rule of Law in Ukraine …” „… Information is available at , last access 18 January 2011. 240 …” „… court system provides better transpar*ency and information support (the creation of an electronic …”

Exporting the dynamic acquis communautaire into the legal systems of third countries S. 190-214

„… law is under*pinned by the system of information exchange, established under the EEA Agreement. The …” „… exchange of information concerns judgments made by the EFTA Court, the ECJ, the General Court (former CFI …” „… Agreement applies. 12 The exchange of information within the EEA Agreement comprises the following stages …”

EC–Switzerland sectoral agreements (SAs) S. 105-115

„… if the taxpayer so agrees; and the exchange of information on request in cases of tax fraud or the …” „… ”, but with!out the adequate information exchange procedure reminiscent of the EEA Agreement. Thus the …” „… Environment Agency and the European Environment Information and Observation Network (O.J. 2006, L 90/37). This …”

Stabilisation and Association Agreements (SAAs) S. 125-136

„… was established to promote international monetary cooperation, exchange stability, and orderly …” „… exchange ar!rangements; to foster economic growth and high levels of employment; and to provide temporary …” „… acquis communautaire. These relate to areas of: information society;207 consumer protection;208 the …”

Introduction S. 187-188

„… following procedural means: formal/informal in*volvement in the EU legislation procedure, the exchange of …” „… information and technical and financial assistance on behalf of the EU. A brief comparison is also made with …”

European Economic Area Agreement (EEA) S. 93-105

„… exchange of information; co!operation between competent EU/EEA Member States’ organisations; and semi!nars …” „… other; and references to information and notification procedures are spe!cific to the EC legal order …” „… information/annualreports/dbaFile16167.pdf>, last visited 18 January 2011. Also see N. Levrat, R. Schwok, “Switzerland’s Relations …”

Trade development and cooperation agreements (TDCAs) S. 168-183

„… activities and en!forcement activities. Furthermore, the Decision 2/2000 advances the exchange of …” „… infor!mation procedure wherein the Parties “to the extent practicable” share relevant case law and information …” „… telecommunications and informa!tion technology;438 and to environmental protection.439 The priority of the soft …”

doi.org/10.5771/9783845231921

Finn Arnesen, Halvard Haukeland Fredriksen, Hans Petter Graver, Ola Mestad, Christoph Vedder - Agreement on the European Economic Area

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Finn Arnesen (ed.), Halvard Haukeland Fredriksen (ed.), Hans Petter Graver (ed.), Ola Mestad (ed.), Christoph Vedder (ed.)

Agreement on the European Economic Area

Series: Kooperationswerke Beck - Hart – Nomos

Volume 2018

Results in this title

Per Christiansen Article 46 [Exchange of views and information] S. 497-500

„… . 45(1). It follows from Art. 45(2) on prior consultation and exchange of information of all measures …” „… cooperation Article 46 [Exchange of views and information] The Contracting Parties shall exchange views and …” „… Review (2012), pp. 2022-2023, in particular footnote 20. Article 46 Exchange of views and information …”

Jóhanna Jónsdóttir Article 83 [Exchange of information between public authorities] S. 770-771

„… for participation in the executive agencies. Article 83 [Exchange of information between public …” „… authorities] Where cooperation takes the form of an exchange of information between public authorities, the …” „… . Art. 83 specifies that where cooperation takes the form of an exchange of information between public …”

Halvard Haukeland Fredriksen Article 106 [Exchange of information concerning relevant judgements] S. 835-837

„… is by letting the ECJ’s view prevail.54 Article 106 [Exchange of information concerning relevant …” „… to the independence of courts, a system of exchange of information concerning judgments by the EFTA …” „… .’ (emphasis added). Article 106 Exchange of information concerning relevant judgements Fredriksen 835 22 23 a …”

Henrik Bull Article 45 [Role of the Joint Committee in case of protective measures] S. 496-497

„… subject of prior consultations and exchange of information within the EEA Joint Committee. 3. In the …” „… exchange of information. 4. In the situation referred to in Article 43(4), where a sudden crisis in the …” „… their entry into force, and the exchange of information and consultations as well as the notifications …”

Dora Sif Tynes Article 109 [The two-pillar surveillance system] S. 852-860

„… shall cooperate, exchange information and consult each other on surveillance policy issues and …” „… , the setting up of procedures for adapting and amending Community acts, the exchange of information …” „… ) SCA states that ESA shall carry out cooperation, exchange of information and consultations with the …”

Jóhanna Jónsdóttir Article 82 [EFTA States’ financial contributions] S. 767-770

„… for participation in the executive agencies. Article 83 [Exchange of information between public …” „… authorities] Where cooperation takes the form of an exchange of information between public authorities, the …” „… . Art. 83 specifies that where cooperation takes the form of an exchange of information between public …”

Dora Sif Tynes Article 92 [Responsibilities of the EEA Joint Committee] S. 782-784

„… of this Agreement. To this end, it shall carry out exchanges of views and information and take …” „… II. Exchanges of views and information Art. 92(1) stipulates that in order to ensure effective …” „… Joint Committee shall set up a system of exchange of information concerning judgments by the respective …”

Marthe Kristine Fjeld Dystland, Fredrik Bøckman Finstad, Ida Sørebø Article 99 [Participation of EFTA States in EU decision-shaping] S. 797-800

„… Parties request it. To ensure continued exchange of information and consultation up until a decision is …” „… EFTA States. At the request of one of the Contracting Parties, a preliminary exchange of views takes …” „… information and consultation process, the Contracting Parties consult each other again in the EEA Joint …”

Henrik Bull Article 40 [Free movement of capital] S. 473-488

„… declaration of capital movements for purposes of administrative or statistical information. However …” „… Luxembourg law to obtain the relevant information even for internal purposes. Nevertheless, the ECJ came to …” „… cooperation of the Luxembourg authorities, and thus to check information, could not justify a categorical …”

Henrik Bull Article 44 [Implementation of protective measures] S. 495-496

„… subject of prior consultations and exchange of information within the EEA Joint Committee. 3. In the …” „… exchange of information. 4. In the situation referred to in Article 43(4), where a sudden crisis in the …” „… their entry into force, and the exchange of information and consultations as well as the notifications …”

Jóhanna Jónsdóttir Article 80 [Forms of cooperation] S. 757-763

„… informal exchange or provision of information; – common efforts to encourage certain activities throughout …” „… exchange information more rapidly and securely. Since 2004, the EFTA States have participated in budget …” „… , EEA Law, p. 643. 2 Further information on the MFF 2014-2020 is available on the European Commission‘s …”

Ólafur Jóhannes Einarsson Article 33 [Exemptions] S. 423-434

„… to the EFTA States. Second, it noted that no provision for information exchange existed between Italy …” „… contained information exchange mechanisms which were sufficient for the Finnish authorities to verify and …” „… at the hearing the Finnish Government itself stated that the information exchange mechanisms were as …”

Dora Sif Tynes Article 95 [The EEA Joint Parliamentary Committee] S. 789-791

„… In order to facilitate information sharing and exchanges of views, Art. 95 provides for the …” „… exchange of views and information between parliamentarians, this has been challenged in recent years by …” „… cooperation and exchange of views between members of European Parliament and the national parliaments of the …”

Per Andreas Bjørgan Article 5 [Responsibilities and means] S. 987-990

„… ) carry out cooperation, exchange of information and consultations with the Commission of the European …” „… obligation to cooperate with the Commission, including to exchange information and consult on specific cases …” „… the Commission in the context of verification or approval, information, notification or consultation …”

Halvard Haukeland Fredriksen, Jóhanna Jónsdóttir Article 3 [Responsibilities] S. 1085-1089

„… procedures for verification or approval, the submission and exchange of information, notifications or …” „… States on the Establishment of a Surveillance Authority and a Court of Justice; c) receive information …” „… case, pass it on to the EC Commission; d) receive from the EC Commission information which an EC Member …”

Jóhanna Jónsdóttir Article 79 [Dialogue and consultation] S. 754-757

„… , exchange information and, at the request of a Contracting Party, hold consultations within the EEA Joint …” „… hoc joint activities; – the formal and informal exchange or provision of information; – common efforts …” „… Environment Agency and the European Environment Information and Observation Network. 5 Regulation (EC) No …”

Dora Sif Tynes Article 91 [The EEA Council: presidency and meetings] S. 780-782

„… shall carry out exchanges of views and information and take decisions in the cases provided for in this …” „… and so is an orientation debate where the EU side provides information on pending legislative …” „… connection to the meetings of the EEA Council, informal exchanges in the form of a political dialogue which …”

Dora Sif Tynes Article 110 [Enforceability of decisions of the ESA and the Commission and of judgments of the EFTA Court and the EU Courts] Einarsson/FredriksenEnforceability of decisions and judgements S. 860-865

„… the EFTA States and assist the Commission in the collection of market information in the EFTA States …” „… event exchange of views are held within two weeks. Should a commonly agreed solution not be found within …” „… ; – Art. 22 of Reg. (EU) 714/2009 on conditions for access to the network for cross-border exchanges in …”

Per Andreas Bjørgan Article 25 [Responsibilities of the ESA in the field of the competition rules] S. 1012-1018

„… exchange of information and evidence. These issues are regulated in Arts. 11 A and B. The enforcement of …” „… courts and regulates exchange of information and opinions. It follows from Section 3 that ESA, acting on …” „… , information requests, complaints, legal professional privilege, the role of the Hearing officer, the various …”

Dora Sif Tynes Article 96 [The EEA Consultative Committee] S. 791-792

„… exchange of views and information between parliamentarians, this has been challenged in recent years by …” „… platform for discussions and exchange of views. It does not have any formal role in decision-shaping or …”

Halvard Haukeland Fredriksen Article 107 [Preliminary rulings from the ECJ] S. 837-840

„… The fact that the system of exchange of information concerning judgments has not been established …” „… of a formal system of exchange of information concerning judgments is hardly a problem for the EFTA …”

Christian Frommelt Liechtenstein and the EEA S. 35-59

„… information on the EU and the EEA policy-making process and reporting is confined to assessments of the EEA …” „… OECD Standard for Automatic Exchange of Financial Account 18 Frommelt (n 14). 19 LGBl. 2005 No. 111. 20 …” „… LGBl. 2015 No. 354. Liechtenstein and the EEA Frommelt 41 20 21 22 23 Information. It was widely seen …”

Christian Jordal, Gjermund Mathisen Article 63 [Specific provisions on State aid] S. 605-609

„… requires the two surveillance authorities to exchange information and views, in individual cases and more …” „… requirement, the States shall transmit to the Commission/ESA summary information about each aid measure in the …” „… competition within the territory covered by this Agreement, exchange of views shall be held within two weeks …”

Jóhanna Jónsdóttir Article 81 [EFTA States’ participation in EU programmes] S. 763-767

„… comments and exchanges of information through the Joint Committee structure, the other main mechanism for …” „… . The same shall apply mutatis mutandis to participants in exchanges between EC Member States and EFTA …” „… concerning the European Union Agency for Network and Information Security (ENISA). 7 Council Regulation (EC …”

Halvard Haukeland Fredriksen, Jóhanna Jónsdóttir Article 5 [Subcommittees and working groups] S. 1090-1095

„… institutions and to exchange ideas with the EFTA States. These groups vary considerably in terms of size, in …” „… . Through these exchanges, they are for example responsible for analysing new EU acts and informing the EFTA …” „… approval, information and notification or consultation and similar matters shall for the EFTA States be …”

Jóhanna Jónsdóttir Article 78 [Areas of cooperation] S. 753-754

„… , exchange information and, at the request of a Contracting Party, hold consultations within the EEA Joint …” „… development, – information services, – the environment, – education, training and youth, – social policy …” „… includes telecommunication services, audiovisual services and information society services amongst others …”

Per Andreas Bjørgan Article 25 a [Responsibilities in the field of financial supervision] S. 1018-1019

„… governing the cooperation, exchange of information and consultation between the EFTA Surveillance Authority …” „… documents of the competition authorities, business secrets and other confidential information. Another …” „… competence to request information and adopt decisions.1 The extension of the agencies’ formal competence to …”

Ronny Gjendemsjø Article 56 [Distribution of competences between the ESA and the Commission] S. 558-563

„… ensures information exchange or binding effects of decisions between the EFTA pillar and the EU pillar …” „… the lack of provisions providing a mechanism for exchange of information between authorities in the …”

Martin Hennig Article 50 [Prohibition of discriminatory rates or conditions for carriage of goods] S. 521-522

„… , exchange information and to consult each other during the investigation.7 Article 51 [Prohibition of State …” „… information concerning transport rates and conditions. Additionally, under Reg. 11/60 the Commission may …” „… impose economic penalties on carriers for failure to supply relevant information or for charging …”

Christian Jordal, Gjermund Mathisen Article 64 [Dispute resolution] S. 609-612

„… States shall transmit to the Commission/ESA summary information about each aid measure in the …” „… competition within the territory covered by this Agreement, exchange of views shall be held within two weeks …” „… exchange of views foreseen in Protocol 27, paragraph (f). They have two weeks to find a commonly agreed …”

Halvard Haukeland Fredriksen Article 105 [Homogeneous interpretation of EU and EEA law] S. 825-835

„… maintain homogeneity is by letting the ECJ’s view prevail.54 Article 106 [Exchange of information …” „… , in full deference to the independence of courts, a system of exchange of information concerning …” „… aware of this threat.’ (emphasis added). Article 106 Exchange of information concerning relevant …”

Titelei/Inhaltsverzeichnis

„… policy cooperation Exchange of views and information ................................Article 46 497 …” „… ...............................Article 82 767 Exchange of information between public authorities ..........Article 83 770 Cooperation in …” „… ..............Article 105 825 Exchange of information concerning relevant judgements ..Article 106 835 Preliminary …”

Per Andreas Bjørgan Article 26 [Cooperation between the ESA and the EU Commission] S. 1019

„… governing the cooperation, exchange of information and consultation between the EFTA Surveillance Authority …”

Per Christiansen Introduction to Part IV S. 1019

„… governing the cooperation, exchange of information and consultation between the EFTA Surveillance Authority …”

Ronny Gjendemsjø Article 53 [Agreements, decisions and concerted practices] S. 526-546

„… the exchange of information between competitors is liable to be incompatible with the competition …” „… where an illegal concerted practice has been found have been concerned with information exchange about …” „… often lead to a certain amount of information exchange about, e.g. production costs, which may restrict …”

Jóhanna Jónsdóttir Article 84 [Cooperation in specific fields] S. 771

„… hampered due to their observer status. If they experience any limitations in the exchange of information …”

Jóhanna Jónsdóttir Introduction to EEA cooperation outside the four freedoms S. 751-753

„… counterparts in EU Member States. Students are able to broaden their horizons through exchange programmes with …” „… Community's activities in the fields of: – research and technological development, – information services …” „… , audiovisual services and information society services amongst others as detailed in Annex XI. Therefore, the …”

Convention establishing the European Free Trade Association EFTA Convention S. 1103-1125

„… CO-OPERATION Article 42 The Member States shall exchange views and information concerning the implementation …” „… prospects. This exchange of views and information shall take place on a non-binding basis. CHAPTER XVI …” „… disclose information relating to the affairs and accounts of individual customers or any confidential or …”

Christian Franklin Article 2 [Principle of loyalty] S. 978-980

„… , information exchanges and consultation between ESA and the Commission in the EEA Agreement.6 Article 3 …” „… Art. 6 (duty to provide information to ESA), Art. 33 (duty to take all measures to comply with EFTA …”

Index S. 1125-1141

„… appliance of EU consumer law II 72 54 Exchange of information II 92 4 Exclusion of tenderers II 65(1) 28 …” „… II 74 20 Coherent and comparable statistical information II 76 1 Collective agreement II 47 36 …” „… – functioning of the Agreement II 97 3 – information duty II 97 2 – international law agreement II 97 3 …”

Jóhanna Jónsdóttir Article 85 [Inclusion of pre-existing cooperation] S. 771-772

„… hampered due to their observer status. If they experience any limitations in the exchange of information …”

Per Christiansen Article 27 [The establishment of the EFTA Court] S. 1019-1020

„… governing the cooperation, exchange of information and consultation between the EFTA Surveillance Authority …”

Benedikt Pirker Switzerland and the EEA S. 80-101

„… information, but for tax deduction at source; it has now been revised to include such an automatic exchange …” „… information https://www.admin.ch/gov/en/start/federal-law/classified -compilation.html, last accessed on …” „… of Switzerland in the European Environmental Agency and the European Environment Information and …”

Martin Hennig Article 49 [State aid in the transport sector] S. 518-521

„… under the EEA Agreement. However, although the mechanism in Art. 48(2) opens for the exchange of …” „… information concerning transport rates and conditions. Additionally, under Reg. 11/60 the Commission may …” „… impose economic penalties on carriers for failure to supply relevant information or for charging …”

Dora Sif Tynes Article 108 [The ESA and the EFTA Court: Establishment and competences] S. 840-852

„… , formulate recommendations and carry out cooperation, exchange of information and consultations with the …” „… , exchange information and consult each other on surveillance policy issues and individual cases. 3. The EC …” „… functions of the Commission in the context of procedures for verification or approval, information …”

Henrik Bull Article 23 [Technical regulations and barriers to trade in wine, product liability] S. 350-356

„… Iceland, the Directive is implemented through Law No. 57/2000 on the Exchange of Information concerning …” „… information to consumers).14 The Court held, at para. 46, that since the Directive had been incorporated into …” „… laying down a procedure for the provision of information in the field of technical standards and …”

Pål Wennerås Article 6 [Homogeneity] S. 209-248

„… review by the EEA Joint Committee, exchange of information on jurisprudence as well as the possibility …” „… information exchange about each other’s judgments, as envisaged in Art. 106 EEA. Such a system, albeit still …” „… ) reduces the risk of tax evasion by allowing the Member State concerned to obtain the necessary information …”

Gunnar Thor Pétursson Article 27 [Provisions concerning coal and steel products] S. 367-369

„… rules and information exchange. Coal and steel products are in principle under the Agreement’s product …”

Martin Hennig Article 51 [Prohibition of State aid in the form of favorable rates or conditions] S. 522-524

„… , exchange information and to consult each other during the investigation.7 Article 51 [Prohibition of State …”

Marthe Kristine Fjeld Dystland, Fredrik Bøckman Finstad, Ida Sørebø Article 100 [Participation of EFTA States’ experts in the EU comitology system] S. 800-802

„… submissions from the EFTA States. 9 For more information on this, see Baur, ‘Decision-Making Procedure and …” „… economic organisations.1 They make up important fora for exchanges of views on the interpretation and …”

Finn Arnesen, Halvard Haukeland Fredriksen Preamble S. 975-977

„… Surveillance Authority and the Commission of the European Communities shall cooperate, exchange information and …”

Christian Jordal, Gjermund Mathisen Article 62 [Review of State aid through the ESA and the Commission] S. 598-605

„… . Protocol 27 EEA requires the two surveillance authorities to exchange information and views, in individual …” „… requests for information made to sources other than the competent national authorities (Art. 7 and 8 of the …” „… case of (typically) an undertaking’s failure to comply with requests for information, see Art. 8 of the …”

Finn Arnesen, Halvard Haukeland Fredriksen Contracting Parties S. 973-975

„… Commission of the European Communities shall cooperate, exchange information and consult each other on …”

Dora Sif Tynes Article 94 [The EEA Joint Committee: presidency, meetings, sub-committees and working groups] Functioning of the EEA Joint Committee S. 786-789

„… Joint Parliamentary Committee and composition In order to facilitate information sharing and exchanges …”

Per Andreas Bjørgan Article 4 [Establishment of the EFTA Surveillance Authority] S. 984-987

„… EFTA Surveillance Authority considers it necessary; (c) carry out cooperation, exchange of information …”

Margrét Einarsdóttir, Ragnhildur Helgadóttir Iceland and the EEA S. 13-35

„… regarding direct legal effect and supremacy. 1 Information material on the EEA Agreement from the website of …” „… krona to foreign exchange rates, was in contravention of Arts. 36 and 40 of the EEA Agreement. In the …” „… that is in Icelandic krona against a foreign exchange rate. The Supreme Court judgment states …”

Fredrik Bøckman Finstad Norway and the EEA S. 59-80

„… importance are the rules on border controls18 and border surveillance, rules on information exchange through …” „… information exchange between police authorities, and rules on the return of illegal migrants.21 Closely linked …” „… common databases in the Schengen Information System19 and the Visa Information System,20 other rules on …”

Pål Wennerås Article 3 [Relevance of ECJ case law] S. 980-984

„… instead, in light of the many provisions providing for mutual cooperation, information exchanges and …”

Henrik Bull Article 26 [Anti-dumping and anti-subsidies measures] S. 362-367

„… rules and information exchange. Coal and steel products are in principle under the Agreement’s product …”

Ernst Nordtveit, Sigrid Eskeland Schütz Article 74 [Protective measures] S. 721-737

„… 77/795/EEC establishing a common procedure for the exchange of information on the quality of surface …” „… Annex XX. The EU is for example a party to the 1998 Convention on access to information, public …” „… requirements for access to environmental information is operationalised in Directive 2003/4/EC of 28 January …”

Berte-Elen R. Konow Article 72 [Provisions on consumer protection] S. 691-713

„… social dialogue. The EEA Agreement does not have any provisions on employees’ rights to information or …” „… , long-term holiday product, resale and exchange contracts26 and – Dir. 1999/44/EC on certain aspects of the …” „… information about digital content. It regulates the right of withdrawal (length of the withdrawal period …”

Tarjei Bekkedal Article 59 [Public undertakings, services of general economic interest] S. 568-584

„… The judgment in Sporting Exchange concerned an exclusive right to provide games of chance.7 Whether a …” „… . 51–52. 7 Case C-203/08, 3.10.2010, Sporting Exchange, para. 47. PART II: The Agreement on the European …” „… the complexity of evaluation and a lack of sufficiently detailed market information.36 In comparison …”

Christian Franklin Article 3 [Principle of loyalty] S. 180-196

„… (Institutional) Homogeneity and Procedural Autonomy by Exchange of Information”, in The EFTA Court (ed.), The EEA …” „… EEA Joint Committee rejecting a request for information by the EEA Joint Parliamentary Committee; or a …” „… requiring the competent authorities of the Member States to communicate to each other information regarding …”

Simen Hammersvik Article 65(1) [Public procurement] S. 612-641

„… of other EEA States sufficient information so that they would be in a position to express their …” „… information to provide undertakings located in other EEA States a real opportunity of expressing their …” „… all interested undertakings.65 The description shall provide the information necessary for …”

Christoph Vedder The EEA in the Union’s Legal Order S. 101-124

„… is restricted to the exchange of views and information in a nonbinding fashion. All other …” „… , provided for in Arts. 78 et seq., which extend to research and technology, information services …”

Martin Hennig Article 47 [Scope of application] S. 500-517

„… may be important to exchange views on the effects of these obligations on the development of the …” „… – Information relating to the entry into force of the seven Agreements with the Swiss Confederation in the …”

Finn Arnesen, Halvard Haukeland Fredriksen Preamble S. 150-171

„… , including the EU Framework Programme for Research and Innovation (Horizon 2020) and the Erasmus+ Exchange …” „… important example is Directive 98/34/EC, in the EU replaced by Dir. 2015/1535/EU on the information …” „… procedure in the field of technical regulations and information society services and yet to be adopted by …”

Ronny Gjendemsjø Article 58 [Cooperation between the ESA and the Commission] S. 566-568

„… forward information exchanged to National authorities for the purpose of carrying out the tasks entrusted …” „… information, inspections and interviews (Art. 8). 6 Commission Reg. (EC) No 802/2004 implementing Council Reg …” „… authority with evidence, including confidential information. Art. 9(3) prevents the receiving authority to …”

Per Andreas Bjørgan Article 13 [Rules of procedure] S. 997-1002

„… pending. The publishing of sensitive information concerning the economic activities of the undertakings …” „… reasoning for withholding 350 of the 352 documents in the case file as the level of information in the …” „… . 182-190. 23 See for instance Case C-477/10 cited above. The facts of the case contain no information to …”

doi.org/10.5771/9783845275796

Kristina Charrad - Participants or Observers in European Governance?

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Kristina Charrad

Participants or Observers in European Governance?

Series: International Civil Society

Volume 4 2010

Results in this title

Lobbying: Communication and information exchange S. 19-21

„… 191.1.2. Lobbying: Communication and information exchange Several terms are used in the research …” „… definition of lobbying: ‘Lobbying is the informal exchange of information with public authorities, as a …” „… : 2), ‘it ranges across lobbying, the exchange of information, alliance building, formal and informal …”

A lack of networking in the multilevel system S. 142-147

„… reports, their regular gatherings serve as a platform for the exchange of information and experience on …” „… lively co-operation and information exchange between the two actors have developed over recent years. By …” „… suggestions and any contact. Information exchange occurs only on an informal basis through one or two contact …”

Mapping the communication network S. 110-127

„… collected and analysed: general communication and information exchange, both very important even at the …” „… are denser than larger ones), and it is, therefore, quite cohesive, meaning that information exchange …” „… . Mapping the information exchange network The two preceding sections presenting the results of measures of …”

Overview of results S. 159-167

„… integrated into the communication and information exchange networks around the issue of the Services …” „… types of relations, namely, communication and information exchange, shapes to a considerable degree the …” „… position in the communication and information exchange networks, a position that hinders them from …”

Summary: The location of stakeholders from Visegrád countries in the issue network and their opportunities to make inputs to the formulation of the Services Directive S. 127-129

„… analysis parameters than the rest of the Visegrád group. The analysis of the information exchange network …” „… actors’ disadvantageous structural position in the network. In this kind of information exchange …” „… initiate on their own relatively few information exchanges. They do not take the initiative; it seems …”

Centrality S. 100-101

„… the direction of information exchange. Degree centrality measures the number of direct ties to or from …” „… small groups united and having veto (blocking) power (Messner 1997: 56). As such, information exchange …” „… , of single actors, indicating their potential to access and exchange information, which is important …”

Policy networks: Focus on complex relationships S. 34-39

„… through which they exchange resources. According to Kassim, ‘the public actor receives information and …” „… between sub-parts of them, assuming exchange relations’ (Van Waarden 1992: 32). In the first place, state …” „… resources (see Börzel 1998). The meaning of exchange and, with it, the link to exchange theory are strongly …”

Titelei/Inhaltsverzeichnis S. 2-14

„… information exchange 19 1.2. Research questions and research design 21 1.3. Methods 24 2. Interest …” „… : Betweenness 120 Figure 10: Information Exchange Network 122 Figure 11: Outdegree 124 Figure 12: Indegree 125 …” „… benefited greatly from the discussions and exchange of ideas, as well as from networking with other …”

Affiliation with organised civil society S. 147-150

„… information exchange on private initiatives exists. Co-operation within the Visegrád actors’ group on the …” „… . Formal exchange of information or aligning of positions does not exist. In fact, the civil society …” „… inside the Czech environment. The co-operation has translated primarily into meetings and exchange of …”

Setting the scene: Boundary specification and sampling S. 91-94

„… ., the involvement of this group of actors in communication and information exchange relations, is the …” „… nodes are the organisations, two types of relations – general communication and information exchange …” „… relational information is a critical and defining feature of a social network’. The advantage of network …”

Prestige S. 101-102

„… small groups united and having veto (blocking) power (Messner 1997: 56). As such, information exchange …” „… , of single actors, indicating their potential to access and exchange information, which is important …” „… information about the position of the actor in the network and its ability to control the information flow …”

What added value do lobbyists bring into the system? S. 43-45

„… 43ances is their value as information sources (Warleigh 2000: 232). The significance of information …” „… the system? Lobbying and information provision are closely connected issues in the EU context. Many …” „… scholars point to the special role of information in the policy-making process on the European level …”

Cohesion S. 99-100

„… as outdegree centrality, which takes into consideration the direction of information exchange. Degree …” „… study is a dichotomous communication exchange matrix, symmetrised according to the maximal approach, i.e …” „… closing questions about sending and receiving information. For the evaluation of collected data, three …”

Complying with the EU S. 88-90

„… structures in CEE countries as they provided EU-related information and trained the personnel of the new …” „… interest groups evidence a peculiar model of interestgroup politics, where the exchange and ownership of …” „… information are more important than the actual impact on policy-making’. Since interest groups from the CEE …”

Applicability to the EU interest intermediation system S. 39-43

„… the European Commission so that it has a partner, providing it with information and legitimising its …” „… exchange specific for each country and each political domain, which interact with opportunity structures at …” „… such alli- 43ances is their value as information sources (Warleigh 2000: 232). The significance of …”

Actors and relations S. 94-95

„… contacts and information exchanges. An individual person responsible for communication and public affairs …” „… receiving messages, giving or receiving advice, passing on gossip, and providing novel information …” „… ’ (Wasserman & Faust 1994: 38). Because communication and information are essential to the policy-making …”

Civil society: Normative and analytical dimensions S. 15-19

„… ). 191.1.2. Lobbying: Communication and information exchange Several terms are used in the research …” „… definition of lobbying: ‘Lobbying is the informal exchange of information with public authorities, as a …”

Data collection techniques S. 95-97

„… assumption that they possess knowledge on inter-organisational contacts and information exchanges. An …” „… , passing on gossip, and providing novel information’ (Wasserman & Faust 1994: 38). Because communication …” „… and information are essential to the policy-making process, data were collected and analysed on two …”

What did stakeholders do in order to change the proposal of the directive? S. 107-110

„… types in the network were collected and analysed: general communication and information exchange, both …” „… ) responding to this question conducted research on the issue, provided information to the decision makers, and …” „… providing information. The Observatory of Social Services collaborated with other organisations in the …”

Response rate and data set S. 98-99

„… the research, and this information was analysed qualitatively. One important remark about handling …” „… organisation. The first dataset assembled for this study is a dichotomous communication exchange matrix …” „… dataset is an asymmetric matrix based on the closing questions about sending and receiving information …”

The horizontal dimension: Network governance S. 49-52

„… , then, has to provide the stakeholders an appropriate arena for political exchange and negotiations …” „… the game because they receive and send information too late (cf. Peterson 2003: 14). In network …” „… , ‘[n]etworks facilitate the spread of guiding principles and norms of governance and assist the exchange of …”

European Commission S. 65-67

„… ‘relative cheapness and its continuity of use of traditional channels of information and exchange that have …” „… private actors to provide it with much of the information it needs’ (Mazey & Richardson 2006: 257). The …” „… Commission seeks technical instead of political information, since ‘it does not seek funds for re-election …”

Hungary: Strong services, weak advocacy S. 83

„… rules of ethical behaviour, establish their umbrella organizations, improve cooperation and information …” „… exchange within the sector, and significantly increase the professional quality of their activities’ (Kuti …”

Selection of interview partners S. 130-133

„… , target groups and information exchange. These materials were assessed in Chapter 3. 1336.1.2. Interview …” „… obtain information on their relations with civil society organisations from the respective countries …”

The vertical dimension: Multi-level governance S. 45-49

„… 45provide such information can – according to the do ut des principle – exchange it to influence …” „… high quality technical information, which means that they have to have highly qualified personnel and …” „… significant financial resources at their disposal. Furthermore, they must provide the information quickly and …”

Accreditation and transparency S. 60-65

„… ‘relative cheapness and its continuity of use of traditional channels of information and exchange that have …” „… against disseminating misleading or false information; • Prohibition against acquiring information in …” „… and able to provide further information19. As of June 2005, the CONECCS database encompassed 734 …”

Summary: What interest intermediation system exists in the EU and how are interests promoted in this system? S. 55-56

„… but not least, possess information relevant to a particular policy that they can exchange for …”

Poland: Small, but strategic S. 83-84

„… rules of ethical behaviour, establish their umbrella organizations, improve cooperation and information …” „… exchange within the sector, and significantly increase the professional quality of their activities’ (Kuti …”

Czech Republic: Divided and invisible S. 82-83

„… organizations, improve cooperation and information exchange within the sector, and significantly increase the …”

Research questions and research design S. 21-24

„… information exchange relations in the issue network surrounding the Services Directive is an independent …” „… this structure have on the new actors; how is the important policy resource, i.e., information …”

Implications for the democratic legitimacy of European governance S. 167-169

„… policy-making process. Despite the existing information exchange channels, the civil society organisations from …”

Europeanisation as a process challenging governance S. 52-55

„… the game because they receive and send information too late (cf. Peterson 2003: 14). In network …” „… , ‘[n]etworks facilitate the spread of guiding principles and norms of governance and assist the exchange of …”

Bibliography S. 174-190

„… , C. (2002): Information, Lobbying and the Legislative Process in the European Union. In: European …” „… Europäischen Union. München: Herbert Utz Verlag. Galaskiewicz, J. (1979): Exchange Networks and Community …” „… ): Lobbying in Brussels. Interest Representation and Need for Information. Discussion Paper C155 (2006). Bonn …”

Actors on the national level are not conscious of European politics S. 139-142

„… established fluid contacts. The PKPP’s representative explained that they exchanged information and cooperated …” „… ‘awareness raising and information strategy’. The Slovak and Hungarian representatives emphasised first of …” „… the working groups of the federations and responding to the requests for the information regarding …”

doi.org/10.5771/9783845222363

Indra Spiecker gen. Döhmann, Vagelis Papakonstantinou, Gerrit Hornung, Paul De Hert - General Data Protection Regulation

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Indra Spiecker gen. Döhmann (ed.), Vagelis Papakonstantinou (ed.), Gerrit Hornung (ed.), Paul De Hert (ed.)

General Data Protection Regulation

2023

Results in this title

Art. 67 Exchange of information Indra Spiecker gen. Döhmann S. 983-985

„… directly reviewed by the addressees.Art. 67Exchange of informationThe Commission may adopt implementing …” „… acts of general scope in order to specify the arrangements for the exchange of information by …” „… specify the arrangements for the electronic exchange of information between the parties involved in the …”

Art. 50 International cooperation for the protection of personal data Stephanie Schiedermair S. 854-857

„… through notification, complaint referral, investigative assistance and information exchange, subject to …” „… to exchange information and cooperate with competent authorities in third countries based on the …” „… between the data protection SAs within and outside of the EU so that information can be exchanged and …”

Art. 61 Mutual assistance S. 915-921

„… exchange of information by electronic means between supervisory authorities, and between supervisory …” „… legislator.Confidential information. Nothing is prescribed in this Art. 61 for the event of exchange of confidential …” „… necessary information, including the purpose of and reasons for the request. Information exchanged shall be …”

Introduction S. 1-76

„… underlined this: a purely national response is hardly possible, and the exchange of information on many …” „… the conflict between “free exchange of information” and “data protection”, the Convention, despite all …” „… information unit within which personal data can be freely exchanged. This corresponds to the protection …”

Art. 60 Cooperation between the lead supervisory authority and the other supervisory authorities concerned Cooperation between the lead supervisory authority and other authorities S. 904-914

„… exchange all relevant information with each other.2. The lead supervisory authority may request at any time …” „… ? . . . . . . . . . . . . . . . . . . . . . . . 201. The principle of consensus and the exchange of information (paras. 1 and 12 …” „… cooperation among SAs.The principle of consensus and the exchange of information(paras. 1 and 12)Para. 1 of …”

Art. 70 Tasks of the Board Stephanie Schiedermair S. 993-998

„… Regulation;(c) advise the Commission on the format and procedures for the exchange of information between …” „… exchange of information and best practices between the supervisory authorities;(v) promote common training …” „… procedures can be used for the exchange of information between controllers and data protection authorities …”

Art. 63 Consistency mechanism Indra Spiecker gen. Döhmann S. 927-937

„… must be an effective exchange of information and genuine cooperation between the parties involved, and …” „… preparatory acts; Art. 67 enables the Comm to specifiy the requirements for the exchange of information.17 On …” „… mechanism (Art. 62 No. 1 lit. c Comm-P) as well as the form of the electronic exchange of information …”

Art. 93 Committee procedure Stephanie Schiedermair S. 1143-1145

„… gives the Comm the option to specify the format and procedures for the exchange of information for …” „… assistance referred to in this Article and the arrangements for the exchange of information by electronic …” „… to specify the arrangements for the exchange of information by electronic means between SAs, and …”

Art. 20 Right to data portability Alexander Dix S. 508-517

„… parties, in exchange of additional services, or for cash value.“5 Other authors see in Art 20 the …” „… their choice in any Member State there is still no legally binding framework for an exchange format for …” „… information based on customer reviews to be non-portable.40 Article 29 Working Party, WP 242 re. 01, 10. The …”

Art. 99 Entry into force and application Gerrit Hornung and Indra Spiecker gen. Döhmann S. 1165-1168

„… the exchange of information extracted from the criminal record between Member States;– Council …” „… Decision 2009/316/JHA of 6 April 2009 on the establishment of the European Criminal Records Information …” „… and use of the second generation Schengen Information System (SIS II);14– Regulation (EC) No 767/2008 …”

Art. 97 Commission reports Stephanie Schiedermair S. 1156-1160

„… exchange of information and establishing informational network structures, it will often make sense for the …” „… , the Commission may request information from Member States and supervisory authorities.3 Of some …” „… this Regulation, in particular taking into account of developments in information technology and in …”

Index S. 1169-1211

„… – information exchange, electronic 64 46– internal provisions 64 22– legal protection 64 42– majority …” „… 90 17, 97 13Electronic form 28 79Electronic health records 20 8Electronic information exchange …” „… – approval 40 38– opinion 40 38Ex post right 21 18Exchange of information 57 9Exemption 5 18, 21 10 …”

Art. 47 Binding corporate rules Peter Schantz S. 823-834

„… data.3. The Commission may specify the format and procedures for the exchange of information between …” „… the exchange of information (e.g. a single application form, time limits, number of copies) in an …” „… ) how the information on the binding corporate rules, in particular on the provisions referred to in …”

Art. 73 Chair Stephanie Schiedermair S. 1002

„… , achieving the goals of its participating authorities, facilitating the exchange of information, aiding in …” „… – ‘Working Methods’: this title is concerned with the meetings of the EDPB (such as information …”

Art. 52 Independence András Jóri S. 863-872

„… cooperation among data protection supervisory authorities to help them exchange information and carry out …” „… information) are publicly accessible through the Comm’s website.23One might question what the Comm may do, or …” „… Member States. In some Member States, authorities have one member (that is, a Data Protection/Information …”

Art. 64 Opinion of the Board Indra Spiecker gen. Döhmann S. 938-958

„… secrets, hinder the exchange of information and effective and speedy decisions.53 Moreover, there is a …” „… data processing facilities and devices.70 In this respect, a prior exchange of information between the …” „… relevant information, including as the case may be a summary of the facts, the draft decision, the grounds …”

Art. 38 Position of the data protection officer Stefan Drewes and Sebastian Bretthauer S. 725-729

„… all relevant information needed to assess the data processing in question.3 This includes a …” „… further information regarding the source of any personal data and how they were (or are to be) collected …” „… , including the information to be presented to the data subject according to Art. 13 and 14. In addition …”

Art. 81 Suspension of proceedings Olivia Tambou S. 1036-1040

„… proceedings1. Where a competent court of a Member State has information on proceedings, concerning the same …” „… information, where the proceedings are brought against a decision of a SA, which was preceded by an opinion or …” „… dealing withthe same matterArt. 81 para. 1 obliges the competent national court having information of …”

Art. 57 Tasks Eva Souhrada-Kirchmayer S. 889-893

„… administrative assistance and the exchange of information (lit. g) as well as through contributions to the work …” „… request, provide information to any data subject concerning the exercise of their rights under this …” „… necessary;(g) cooperate with, including sharing information and provide mutual assistance to, other supervisory …”

Art. 68 European Data Protection Board Stephanie Schiedermair S. 986-990

„… or the EDPB. For this purpose, they must exchange all expedient information. If the SAs cannot reach …” „… Information Security Agency (ENISA). In addition, member state preliminary definitions, benchmarks or designs …” „… can be used.The EDPB has so far used the Comm's existing Internal Market Information (IMI) system,17 …”

Art. 28 Processor András Jóri S. 626-645

„… information exchange and verification of the guarantees during the whole timescale of using a …” „… ” means that this obligation is part of the information exchange as regulated by lit. h; it does not …” „… requirement before processing, unless that law prohibits such information on important grounds of public …”

Art. 39 Tasks of the data protection officer Stefan Drewes and Sebastian Bretthauer S. 730-735

„… well as the DPO cooperate and exchange each other, in particular regarding internal audits.22The …” „… data-processing is a basic task of DPOs according to para. 1 lit. a. The concepts of information and advice have a …” „… legal concepts. While providing information proactively, advising is aimed at addressing specific issues …”

Art. 65 Dispute resolution by the Board Indra Spiecker gen. Döhmann S. 959-974

„… ) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 314. Information of the parties (para. 5 …” „… its details even to the information of the public and any potential complainants; para. 4, comparable …” „… dispute settlement procedure15, the – proper – view to generate further information could not prevail …”

Art. 51 Supervisory authority Eva Souhrada-Kirchmayer S. 858-862

„… EDPB, the exchange of information and the joint handling of cases in the one-stop-shop procedure (Art …” „… ‘cooperate with, including sharing information, and provide mutual assistance to other SAs with a view to …”

Art. 8 Conditions applicable to child's consent in relation to information society servicesThe authors would like to thank Ayça Atabey for her assistance in conducting the research for this chapter. J... S. 391-399

„… Ibid p. 164.15 Council, Note from Presidency to Working Party on Information Exchange and Data …” „… information society services directly to a child, the processing of the personal data of a child shall be …” „… : Following in US Footsteps?’, Information and Communications Technology Law, 2017, 26, 146; J. C. Buitelaar …”

Art. 66 Urgency procedure Indra Spiecker gen. Döhmann S. 975-982

„… urgent need for action were assumed. Art. 67 guides the exchange of information. It may not always be …” „… large-scale cross-border investigations under the GDPR with predefined information.80Art. 66Urgency procedure1 …” „… importance because it takes into account the fact that information infringements can usually not be reversed …”

Art. 17 Right to erasure (‘right to be forgotten’) Artemi Rallo and Jorge Viguri S. 487-495

„… controller is subject;(f) the personal data have been collected in relation to the offer of information …” „… freedom of expression and information;(b) for compliance with a legal obligation which requires processing …” „… information as soon as it is no longer necessary for the purpose of the processing (…)”..5 In the EDPS’ view …”

Art. 2 Material scope Vagelis Papakonstantinou and Paul De Hert S. 92-115

„… Journal of Law and Information Technology 2010, 18,1, 50; ICO, Data Protection and Journalism; a Guide for …” „… Directive: Navigating through the Maze of Information Sharing in Public–Private Partnerships’, International …” „… Computer & Information Law, 2008, 2, 241; Xfera Móviles SA, No. TD/00129/2020 (AEPD 28 September 2020).I …”

Art. 6 Lawfulness of processing Giovanni Sartor S. 291-327

„… with the fairness of the exchange at stake: (a) by the lack of rationality and information on the part …” „… are threatened to be hollowed out and to lose their relevance in regulating information technology and …” „… (e.g., health information).To complete our analysis of the logical structure of Art. 6 para. 1, we need …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Art. 66 975Exchange of information …” „… reality. A binding and unifying framework exists under which data processing of personal information and …” „… Protection Directive (DPD) of 1995 and the GDPR of 2016, information technology had increasingly penetrated …”

Art. 7 Conditions for consent Judith Rauhofer and Burkhard Schafer S. 376-390

„… Private Information in Social Networks’, (2019), in The 19th Privacy Enhancing Technologies Symposium …” „… consent information from information on other matters . . . 22a) Consent as approval of pre-formulated …” „… statement . . . . . . . . . . . . . . . . . . . . . . . 23b) Clear and distinguishable information …”

Art. 83 General conditions for imposing administrative fines Olivia Tambou S. 1051-1063

„… information exchange on the application of the SAs’ fining power.19Aside from these three principles, Art. 83 …” „… the holder of their parental responsibility,23 information to be communicated clearly24 or the …” „… ; the obligation to give all information necessary and grant access to processing activities to the …”

Art. 1 Subject-Matter and Objectives Gerrit Hornung and Indra Spiecker gen. Döhmann S. 77-91

„… ), Datenschutz-Grundverordnung, Bundesdatenschutzgesetz: DS-GVO / BDSG, 3rd edn, Munic 2020; F. Linde, Ökonomie der Information …” „… , Baden-Baden 2022; T. Vacca, Das vermögenswerte Persönlichkeitsbild, Baden-Baden 2017; H. Zech, Information als …” „… This counteracts the unidirectional usability of information by the data controller; the data subject …”

Art. 85 Processing and freedom of expression and information Alexander Dix S. 1070-1085

„… expression and information1. Member States shall by law reconcile the right to the protection of personal …” „… data pursuant to this Regulation with the right to freedom of expression and information, including …” „… information.3. Each Member State shall notify to the Commission the provisions of its law which it has adopted …”

Art. 49 Derogations for specific situations Peter Schantz S. 838-853

„… made from a register which according to Union or Member State law is intended to provide information to …” „… controller shall, in addition to providing the information referred to in Articles 13 and 14, inform the data …” „… 1998; Art. 29 WP 66, Opinion 6/2002 on transmission of Passenger Manifest Information and other data …”

Art. 4(11) Consent Judith Rauhofer and Burkhard Schafer S. 195-215

„… Anti-Doping Agency (WADA) International Standard for the Protection of Privacy and Personal Information, on …” „… Information Technology, (2014) pp. 171-182; M.-R. Ulbricht and F. Pallas, ‘YaPPL-A Lightweight Privacy …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 37c) Clear separation of consent information from information about other matters …”

Art. 82 Right to compensation and liability Olivia Tambou S. 1041-1050

„… exemption should at least apply in case of separate controllers, i.e. where controllers exchange personal …” „… where a hospital routinely shares information about a patient’s treatments with an insurance company in …”

Art. 5 Principles relating to processing of personal data Alexander Roßnagel and Philipp Richter S. 261-290

„… concretise the principles through their information, consultations, assistance and decrees in respect to the …” „… subject, but rather covers all the information and information measures necessary to enable data subjects …” „… demanding information. The same applies according to Art. 13(3) if the controller intends to further process …”

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