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Matthias Lehmann, Christoph Kumpan - European Financial Services Law

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

European Financial Services Law

Reihe: Kooperationswerke Beck - Hart – Nomos

Band 2019

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Article 8 Related parties S. 1331-1332

„… company under the UCITS regime. Article 8 Related parties 1. The competent authorities shall not grant …” „… disclose shareholders with qualifying holdings as well as other related parties that pursue a regulated …” „… subject to particular scrutiny. Any doubt as to the reliability of those related parties could provide a …”

Article 12 Market manipulation S. 730-756

„… able to the two parties and signed by them, respectively, must be kept by the disclosing market …” „… record-keeping obligations laid down in Art 11, since these are only addressed at disclosing parties …” „… , a related spot commodity contract or an auctioned product based on emission allowances; or (ii …”

Article 11 Market soundings S. 718-730

„… parties entitled to the securities, shall also constitute a market sounding, provided that: (a) the …” „… information is necessary to enable the parties entitled to the securities to form an opinion on their …” „… willingness to offer their securities: and (b) the willingness of parties entitled to the securities to offer …”

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

„… %. Issuers and related third parties must document when they do not engage a rating agency with a market …” „… related third parties to comply with Art 8d(1) CRA Regulation. Credit rating agencies that enjoy national …” „… independent. An issuer or related third party soliciting a rating of a structured finance investment shall …”

Article 7 Conditions for authorisation S. 1328-1331

„… UCITS regime. Article 8 Related parties 1. The competent authorities shall not grant authorisation to …” „… qualifying holdings as well as other related parties that pursue a regulated activity. In practice, Art 8 of …” „… UCITSD prompts a detailed review by competent authorities into the related parties of the management …”

Article 7 Recognition of close-out netting provisions S. 1732-1734

„… parties (rehypothecation), as long as the collateral taker is not prohibited from doing so under the …” „… otherwise agreed by the parties. I. General features Purpose In addition to the collateralisation of …” „… Collateral Directive is related to Art 3 of the Settlement Finality Directive, which ensures the …”

Article 7 Rating analysts, employees and other persons involved in the issuing of credit ratings S. 1261-1263

„… rated entities or related third parties. I. General features Overview/purpose Article 7 CRA Regulation …” „… rated company or related third parties.16 Exemptions from the rotation requirement for rating analysts …” „… rated entity, related third party or any person directly or indirectly linked to the rated entity by …”

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

„… to request trade repositories and related third parties to provide all information necessary to …” „… information and on-site inspections (Articles 60-63) While respecting the limits of disclosure related to …” „… imposed unless such disclosure could damage the financial markets or the parties involved. Such fines and …”

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

„… include major related parties transactions. (5) If the half-yearly financial report has been audited, the …” „… ; (b) any changes in the related parties’ transactions described in the last annual report that could …” „… of shares (but not of debt securities) are required to disclose a list of major related party …”

Article 2 Scope S. 1234-1236

„… scores, credit scoring systems or similar assessments related to obligations arising from consumer …” „… ratings to third parties does not constitute a public announcement or disclosure to subscribers. However …” „… credit scores, credit scoring systems and similar assessments related to obligations arising from …”

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

„… financial instruments and proposed investment strategies, execution venues and all costs and related charges …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40 3. Research conducted by third parties …” „… costs and related charges. MiFID II retains MiFID I’s existing disclosure requirements but also includes …”

Article 3 Formal requirements S. 1722-1724

„… admissibility in evidence against the debtor or third parties. By 30 June 2014, the Commission shall report to …” „… third parties. To avoid negative consequences, parties have to figure out what formal requirements are …” „… : Related to financial collateral agreements, Member States must not establish or keep in place any …”

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

„… ation, validity, etc., of the collateral arrangement between the parties of the arrangement, Member …” „… against the debtor of the claim or other third parties. This rule is a compromise between those Member …” „… been agreed by the parties in the security financial collateral arrangement; and (b) the parties have …”

Article 6 b Maximum duration of the contractual relationship with a credit rating agency S. 1258-1261

„… rated entities or related third parties. I. General features Overview/purpose Article 7 CRA Regulation …” „… . Related to this requirement, barriers to receiving ratings on re-securitisations should also be reduced.2 …” „… securitisation position. In addition, after expiry of a rating agreement, the contracting parties may not enter …”

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

„… the parties involved. Member States shall, at regular intervals, publish assessment reports on the …” „… not affect the validity of an OTC derivative contract or the possibility for the parties to enforce …” „… risk mitigation obligations also apply when one or both parties to a derivative contract is established …”

Article 7 Inside information S. 673-692

„… of import duties. Such duties have an impact on spot commodity prices and, hence, on related …” „… contracts and related financial instruments. Article 6(4) is intended to ensure that the relevant public …” „… related derivative financial instruments; (b) in relation to commodity derivatives, information of a …”

Article 8 Certain insolvency provisions disapplied S. 1734-1739

„… of close-out netting clauses, but also regarding the position of third parties who assert rights over …” „… Financial Collateral Directive is to disregard rights asserted by third parties, giving precedence to …” „… what rights third parties allege. A third party must seek compensation at some time following the …”

Article 8 c Double credit rating of structured finance instruments S. 1273-1274

„… Article 8 c Double credit rating of structured finance instruments 1. Where an issuer or a related …” „… a related third party as referred to in paragraph 1 shall ensure that the appointed credit rating …” „… Recital 28 CRA III Regulation. II. Commentary Article 8c(1) CRA Regulation requires parties soliciting …”

Article 16 Organisational requirements S. 65-120

„… control system, including control of IT systems and IT related risks; – Art 16(6), (7), (11) MiFID deal …” „… implementation of the remuneration policy and the monitoring of compliance risks related to the policy. 4 …” „… Services 78 Dirk Zetzsche 11 MiFIR framework with the UCITSD, AIFMD and the asset management-related parts …”

Article 9 Conflict of laws S. 1739-1743

„… perspective of third parties, which is indispensable in an area closely related to property law. The reference …” „… the steps necessary to render such an arrangement and provision effective against third parties; (c …” „… rule stated in Art 9 is mandatory. In contrast to the Hague Securities Convention, the parties do not …”

Chapter 2 Conduct of business rules S. 1637-1643

„… with third parties, including the operational and technical requirements referred to in Article 7. 5. A …” „… disproportionate damage to the parties involved. Article 39 Segregation and portability 1. A CCP shall keep …” „… Commission delegated regulation directly related to this Chapter. 11 Moloney, EU Securities and Financial …”

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

„… parties necessary for the natural or legal person to have a reasonable expectation that settlement can be …” „… ’ within the meaning of Art 2(1)(b) SSR.2 Legislative history The related provision introduced by the …” „… confirmed that the shares sold short have been ‘located’ and has taken measures vis-à-vis third parties …”

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

„… licensed on equivalent terms to another CCP, trading venues or any related persons for the purposes of …” „… clearing and trading. Different prices can be charged to different CCPs, trading venues or any related …” „… competition rules and, in particular, Article 101 and 102 TFEU. (3) No CCP, trading venue or related entity …”

Article 9 Outsourcing S. 1276-1277

„… list enables issuers and related third parties to comply with Art 8d(1) CRA Regulation. Credit rating …” „… other than those related to the credit ratings. 2a. Until disclosure to the public of credit ratings …” „… to maintain a list of persons who have access to their credit ratings, rating outlooks or related …”

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

„… as an ARM.5 In this way, they can directly transmit the information on behalf of the parties of the …” „… providers and related notifications pursuant to Directive 2014/65/EU of the European Parliament and of the …” „… notions under MiFID II related to the management body of market operators and data reporting …”

Article 77 Recognition of trade repositories S. 1673-1675

„… , including the protection of business secrets shared by the authorities with third parties. Article 77 …” „… 77(2) EMIR). This means the parties can fulfil their reporting obligations by transmitting the required …” „… cost-related. Article 79 Operational reliability 1. A trade repository shall identify sources of operational …”

Article 3 Optional exemptions S. 18-22

„… that provide investment services solely in commodities, emission allowances and related derivatives for …” „… investment services to third parties and/or the performance of one or more investment activities on a …” „… legal persons, provided that: (a) their legal status ensures a level of protection for third parties …”

Article 9 Reporting obligation S. 1596-1600

„… parties to the derivative contract and, where different, the beneficiary of the rights and obligations …” „… clarification of data standards and formats. The reports must at least specify the parties and the …” „… details on the data to be reported and obliges counterparties to ensure that the parties to a trade have …”

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

„… investment decisions with a special view on regional diversification and asset class-related investment …” „… depositary or custody is delegated to third parties (‘sub-depositaries’) – must be ringfenced to protect …” „… depositary shall not delegate to third parties the functions referred to in Article 22(3) and (4). 2. The …”

Article 4 Waivers for equity instruments S. 408-417

„… . Regulatory requirements related to granting and withdrawing waiver (Arts 4(4) und (5) MiFIR …” „… instruments, the related market model and the type of users which trade in the instruments.30 According to …” „… acting on behalf of client, (ii) both parties are dealing on own account, or (iii) both parties are …”

Index S. 1785-1803

„… et seq. – operating conditions UCITSD 10 2 et seq. – related parties UCITSD 8 2 et seq. – third …” „… TD 18 9 – large denomination TD 18 15, 20 14 – meeting-related information TD 18 11 – proxy …” „… parties UCITSD 22a 3 – European passport UCITSD 23 2 et seq. – inability UCITSD 25 3 et seq …”

Article 2 S. 1684-1691

„… contributes to the main goal of minimising systemic risk.8 That collateral transactions related to central …” „… office. The applicable law is determined by choice of the parties. This rule avoids conflict-of-law and …” „… term covers all parties whose default may cause systemic risk.12 It includes a central counterparty, a …”

Article 8 b Information on structured finance instruments S. 1271-1273

„… credit rating of structured finance instruments 1. Where an issuer or a related third party intends to …” „… agencies to provide credit ratings independently of each other. 2. The issuer or a related third party as …” „… . II. Commentary Article 8c(1) CRA Regulation requires parties soliciting the rating of a structured …”

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

„… or by decision require trade repositories and related third parties to whom the trade repositories …”

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

„… , or related third parties, have the potential to create a conflict of interest and, therefore, must be …” „… development assessments, price analysis and other analysis of general data, and related distribution services …” „… credit rating if they have an ownership interest in a rated entity or a related third party.15 Moreover …”

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

„… decision on the suspension or removal of the financial instrument and of any related derivative and …” „… with such financial instruments can be effectively applied and the interests of all parties are …” „… derivative related or referenced to a financial instrument suspended or removed from trading and the original …”

Article 1 Scope S. 6-10

„… persons that are dealing on a professional basis on own account, i.e. not for third parties.6 The purpose …” „… related and own business.7 However, Art 2(1)(d) MiFID II provides an important exception, which in …” „… is necessary in order to limit the engagement of financial and non-financial parties on the …”

Article 9 Third country relations S. 1332-1333

„… links will be subject to particular scrutiny. Any doubt as to the reliability of those related …” „… parties could provide a reason to deny authorisation. Doubts may exist not only due to potential …”

Article 79 Operational reliability S. 1675-1676

„… cost-related. Article 79 Operational reliability 1. A trade repository shall identify sources of operational …” „… repository shall allow the parties to a contract to access and correct the information on that contract in a …”

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

„… by simple request or by decision require trade repositories and related third parties to whom the …”

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

„… interest has to contain (f) adequate procedures for transactions with related parties (on an arm’s length …” „… if applicable, the management of (inter-)national groups and risks related to group structures.16 …” „… related risks, the company’s governance and, when the market operator is part of a group of companies, the …”

Article 14 Authorisation of a CCP S. 1612-1613

„… one or both parties to a derivative contract is established outside the EU, Article 13 EMIR provides a …” „… remedial mechanism to avoid the costs related to the duplications and conflicts among rules. The provision …”

Article 18 General principles S. 1498-1499

„… Art 17 and the related provisions of the AIFMD Level 2 Regulation apply to securitisations issued on …” „… parties to it, its nature, and the time and place at which it was effected and that the assets of the AIFs …”

Article 61 Request for information S. 1661-1662

„… or by decision require trade repositories and related third parties to whom the trade repositories …”

Article 3 Exclusions from the scope S. 1323-1324

„… the annual financial statements, consolidated financial statements and related reports of certain …” „… the Luxembourg Partie II-Fonds or the German open-ended real estate funds. Article 4 Home member state …”

Article 76 Professional secrecy S. 377-378

„… Context Article 75 is related to Article 74 (right of appeal) inasmuch as that both deal with legal …” „… being compulsorily wound up, confidential information which does not concern third parties may be …”

Article 75 Extra-judicial mechanism for consumers complaints S. 376-377

„… is related to Article 74 (right of appeal) inasmuch as that both deal with legal protection in cases …” „… compulsorily wound up, confidential information which does not concern third parties may be divulged in civil …”

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

„… that set out the rights and obligations of the parties, and the other terms on which the investment …” „… firm will provide services to the client. The rights and duties of the parties to the contract may be …” „… assessment of suitability or appropriateness), Art 56 (assessment of appropriateness and related …”

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

„… years is normally required between orders from the same rated company or related third parties.16 …” „… of ratings and all other related authorisation after the rating has been issued. This may apply to …” „… reliable, relevant and quality-related analytical models, basic rating assumptions and criteria. A rating …”

Article 3 Intragroup transactions S. 1579-1584

„… option of one of the parties other than by reason of default or other termination event; Options, futures …” „… must be settled in cash or may be settled in cash at the option of one of the parties other than by …” „… reach of the clearing obligation and bilateral risk mitigation regime see comments related to → Art 4(1 …”

Article 2 Exemptions S. 10-18

„… activity inside an enterprise that has no effect on third parties. MiFID II therefore grants generous …” „… main business of the firm must be non-financial, i.e. neither related to the provision of investment …” „… exemption is to exclude non-financial parties who are hedging risks via commodity derivatives from the …”

Article 47 S. 599-600

„… curities shall be considered freely negotiable if they can be traded between the parties to a …” „… ‘The offering of shares, their listing on stock exchanges, and the disclosing related information: EU …”

Article 46 S. 598-599

„… between the parties to a transaction, and subsequently transferred without restriction and if all …” „… the disclosing related information: EU Directives viewed from the perspective of Croatian legislation …”

Article 5 Requirements for credit transfer and direct debit transactions S. 1759-1765

„… on the mandate-related information, (iii) to block any direct debits to the payer’s payment account …” „… and the payee’s PSP shall transmit that mandate-related information to the payer’s PSP with each …” „… mandate-related information. 7. After 1 February 2014 for national payment transactions and after 1 February 2016 …”

Article 23 Powers of competent authorities S. 838-843

„… participants on related spot markets according to standardised formats, obtain reports on transactions, and …” „… , and shall not involve the person notifying in liability of any kind related to such notification. I …” „… would be destroyed by ongoing trade. As third parties will inevitably be negatively affected by …”

Article 17 Investment in securitisation positions S. 1496-1498

„… 17 and the related provisions of the AIFMD Level 2 Regulation apply to securitisations issued on or …” „… involving the AIFs may be reconstructed according to its origin, the parties to it, its nature, and the time …”

Article 11 a European rating platform S. 1281-1283

„… issuers, investors and interested parties to access, on a central platform, all relevant and up-to-date …” „… charge fees specifically related to information which must be disclosed under Arts 8 through 12 of the …”

Article 72 Exercise of supervisory powers and powers to impose sanctions S. 371-373

„… ; (e) the losses for third parties caused by the infringement, insofar as they can be determined …” „… regulations adopted by the EU related to capital markets. For instance, Article 32 of MAR contains a provision …”

Article 4 Annual financial reports S. 1118-1124

„… include major related parties transactions. (5) If the half-yearly financial report has been audited, the …” „… statements and related reports of certain types of undertakings, amending Directive 2006/43/EC of the …” „… specific corporate governance statements over information on related party transactions to statistical …”

Article 2 Definitions S. 1317-1323

„… knowledgeable willing parties in an arm’s length transaction; (b) values are given that a based either on market …” „… parties for the purpose of the provision by the management company of collective portfolio management …” „… statements, consolidated financial statements and related reports of certain types of undertakings, amending …”

Article 8 Interchange fees for direct debit transactions S. 1768-1770

„… Art 8(2), and those related to unilateral and bilateral interchange fees in Art 8(3), became effective …” „… account located in a Member State and that is reachable in accordance with Art 3. If the parties could …”

Article 99 a Minimum sanctioning S. 1442-1444

„… requirements related to delegation of its functions to third parties imposed in accordance with the national …”

Article 3 Definitions S. 1236-1242

„… scores, credit scoring systems and similar assessments related to obligations arising from consumer …” „… analysts. By contrast, the term "scoring" covers all forecasting procedures related to the future conduct …” „… parties to disseminate information.4 Article 3 Definitions 1. For the purpose of this Regulation, the …”

Overview of Articles 12-15 S. 908-910

„… the share has been located and has taken measures vis-à-vis third parties necessary for the natural or …” „… Legislative history The related provision introduced by the Commission’s Proposal for the SSR3 underwent some …”

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

„… Markets and Services 268 Christoph Kumpan and Finn Schmidt 11 ment on that market or a related market …” „… responsible for the algorithmic trading system.23 The compliance function may be outsourced to third parties …” „… functions cover all direct activities related to performance and surveillance of trading systems which …”

Introduction S. 941-951

„… as regards elements related to prospectuses and advertisements [2008] OJ L340/17Commission Regulation …” „… and of the Council as regards elements related to prospectuses and advertisements [2011] OJ L103/13 …” „… is costly. It entails relevant compliance costs as well as costs related to the fact that it may …”

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

„… venues today. Art 28 MiFIR is also related to Art 57-66 MiFID II, which authorise supervisors to impose …” „… . They cannot demand that the parties trade all of their other transactions on them. They are also not …” „… otherwise agreed by the relevant parties to be cleared. (3) ESMA shall develop draft regulatory technical …”

Article 4 Clearing obligation S. 1584-1588

„… obligation and bilateral risk mitigation regime see comments related to → Art 4(1)(a) and → Art 11(12). In …” „… exemption of intra-group transactions by Art 4(2) EMIR, see above → Art 3. By considering the parties …”

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

„… related assets or liabilities in the underlying market; (c) require a person to terminate or reduce a …” „… performance by the parties.36 A definition of the term “commodity” is conspicuously absent in MiFID II. MiFIR …” „… either. According to a Level 2 act related to another directive, “commodity” means “any goods of a …”

Article 1 S. 1680-1684

„… enforceable under all Member States' jurisdictions and binding on third parties; SFD Andy Ruzik 1681 (12 …” „… contributes to the main goal of minimising systemic risk.8 That collateral transactions related to central …”

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

„… .2 It also allowed to report through unofficial third parties. MiFIR considerably expands and …” „… obligations under Art 26 and 27 MiFIR only concern financial instruments that are related to a trading venue …”

Introduction S. 1563-1574

„… of the transitional periods related to pension scheme arrangements [2015] OJ 239/63. Commission …” „… transitional periods related to pension scheme arrangements [2017] OJ L86/3. Commission Delegated Regulation …” „… transparency, as information concerning the transaction is usually only available to the contracting parties …”

Article 8 Insider dealing S. 692-705

„… important because reference prices such as opening, closing, or exercise prices of related financial …” „… financial instruments to which that information related. If these two constituent elements were satisfied …” „… related to inside information. However, the advocate general presumably did not intend to exclude any …”

Article 46 General provisions S. 560-566

„… specifically related to the provision of that service or activity. An initiative by such clients shall not …” „… offer is made, the parties make a decision in favour of a third country court or arbitrator.7 The …”

Article 19 Managers’ transactions S. 808-824

„… for transactions made under, or related to, an employee share or saving scheme, qualification or …” „… persons, in so far as the transactions involve emission allowances or related derivatives or auctioned …” „… PDMR (or associated person) is related to an issuer or an EAMP. The following discussion will primarily …”

Introduction S. 644-650

„… as required by the directive because all parties to the transactions were privy to, and participated …” „… with respect to commodity and related derivative markets, introducing rules on benchmark manipulation …”

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

„… fees, clearing and settlement fees and any other fees paid to third parties involved in the execution …” „… the execution of orders related to particular types of financial instruments.22 Article 64(4) of the …”

Chapter 3 Prudential requirements S. 1643-1653

„… and portfolios; (b) the involvement of clearing members or other parties in the tests; (c) the …” „… any associated losses. A complex mechanism of funding-related measures, based on a graduated scale, is …”

Titelei/Inhaltsverzeichnis

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Article 7 1328 Related parties …” „… . . . . . . . . . . . . . . . . . . . . . .Article 41 1374 Validation of valuation, merger-related payments, exchange ratio …”

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

„… parties involved”. Whether Member States should be entitled to forgo administrative sanctions in the event …” „… calculation methods that should be used (for parameters, see → Art 31), and how to set off amount-related and …”

Article 17 Algorithmic trading S. 120-134

„… shall enter into a binding written agreement with the trading venue specifying both parties’ obligations …” „… cancel orders from individuals which operate trading systems that submit orders related to algorithmic …”

Article 1 Scope and UCITS definition S. 1304-1317

„… constitutional law and are not intended to be resolved by UCITSD or related legisltation, we merely raise the …” „… minimum quantity of shares a UCI must hold, but all parties which are investors must bear the residual …”

doi.org/10.5771/9783845279893

Marc Bungenberg, August Reinisch - CETA Investment Law

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Marc Bungenberg (Hrsg.), August Reinisch (Hrsg.)

CETA Investment Law

2022

Treffer in den folgenden Teilen:

Stephan Hobe, Julian Scheu Article 8.24 Proceedings under another international agreement S. 553-565

„… Parties.D. CommentaryThe provision applies to related proceedings having a potentially significant impacton …” „… related claims between the Contracting Parties under the CETA.While it would in principle make perfect …” „… to apply to related claims between theContracting Parties under the CETA is problematic and begs the …”

Céline Lévesque Article 8.16 Denial of benefits S. 395-416

„… (National security), the Parties confirmtheir understanding that measures that are “related to the …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 83A. Introduction and OverviewCETA Parties have opted to include in the investment chapter of their …” „… clearlyfalls in this category and its Parties appear to have made the deliberate choice to avoidsome of the …”

Lori Di Pierdomenico Article 8.43 Consolidation S. 923-944

„… ), para. 122: ‘In these cases, the effect is that there are “various parties,claiming in various forums …” „… parties.In its consideration of the issue, the Canfor et al. tribunal confirmed that the simi-larly phrased …” „… disputing party or the disputing parties, jointly, mayseek the establishment of a separate division of the …”

Marc Bungenberg, Angshuman Hazarika, Afolabi Adekemi Article 8.2 Scope S. 114-146

„… offered by the Parties.In August 2014, the CETA Parties again decided to broaden the exceptions fromthe …” „… covered investment, Sec-tions B and C do not apply to a measure relating to:(a) air services, or related …” „… Parties under theAgreement on Air Transport between Canada and the European Communityand its Member States …”

Christina Binder Article 8.5 Performance requirements S. 175-193

„… (b)successor agreements to which the Parties are Party or amendments that are binding on the Parties,except …” „… protection and trade related elements.1 The prohibition follows a moregeneral trend towards a limitation of …” „… requirements are not only prohibited for investors of Parties to theCETA but in relation to ‘any investments in …”

Lukas Stifter Article 8.44 Committee on Services and Investment S. 945-954

„… Parties'other agreements.2. The Committee on Services and Investment shall, on agreement of the Parties,and …” „… Services and Investment shallprovide a forum for the Parties to consult on issues related to this Section …” „… provide a forum for the Partiesto consult on issues related to this Chapter, including:(a) difficulties …”

Marc Bungenberg, Angshuman Hazarika Article 8.1 Definitions S. 43-113

„… , an investor does not include a Party;disputing parties means both the investor and the …” „… ;intellectual property rights means copyright and related rights, trademark rights,rights in geographical …” „… contracts; or(c) any order, judgment, or arbitral award related to sub-subparagraph (a) or (b).Returns that …”

Güneş Ünüvar Article 8.38 Non-disputing Party S. 813-825

„… non-disputing state Parties.As Butler observes, ‘[a]micus submissions can provide new information and …” „… or, after consultation with the disputing parties, mayinvite, oral or written submissions from the …” „… submissionpursuant to paragraph 2.4. The Tribunal shall ensure that the disputing parties are given a …”

Armand de Mestral, Lukas Vanhonnaeker Article 8.4 Market access S. 159-174

„… Limits to Market Access and the Preservation of the Parties’Economic Sovereignty …” „… Parties.This approach, which was adopted under the Canada-Peru FTA, was also chosen inthe CETA. In this regard …” „… necessaryfor, and directly related to, the performance of economic activity inthe form of numerical quotas or …”

DECISION No 2/2021 OF THE CETA JOINT COMMITTEE S. 975-978

„… agreement of the Parties,and after completion of their respective internal requirements and …” „… Agreement.(5) In accordance with Article 8.9.1 of the Agreement, the Parties reaffirm theirright to regulate …” „… (Investment) of the Agreement in all circumstances respect the intent ofthe Parties as set out in the …”

Katia Fach Gómez Article 8.30 Ethics S. 654-703

„… to matters related to the dispute. They shall not par-ticipate in the consideration of any disputes …” „… submissions from the dis-puting parties and after providing the Member of the Tribunal an opportunity tosubmit …” „… Justice shall endeavour to issue the decision and to notifythe disputing parties and the other Members of …”

Erman Özgür Article 8.3 Relation to other chapters S. 147-158

„… semantically – cover both direct and indirect; and formaland informal conduct by the Parties.IV. 1 August 2014 …” „… securities instruments to the extent that such instruments are related tocross-border services unless an …” „… the last chapters on which the Parties reached anagreement. Leblond, ‘CETA and Financial Services …”

Stefanie Schacherer Article 8.9 Investment and regulatory measures S. 236-255

„… reviewing regulatory choices of the Contracting Parties.A Deferential Standard of ReviewA deferential …” „… Article 8.9Investment and regulatory measures1. For the purpose of this Chapter, the Parties …” „… is necessary in order to comply with internationalobligations between the Parties or has been ordered …”

Lukas Stifter Article 8.32 Claims manifestly without legal merit S. 738-756

„… Tribunal, after giving the disputing parties an opportunity to present theirobservations, shall at its …” „… s. Such mechanisms respond to the commonly heldconcerns related to duration and costs in …” „… parties.’12 See Council of the EU, Recommendation from the Commission to the Council on the modification …”

Marc Bungenberg, Afolabi Adekemi Article 8.18 CETA (Scope) S. 434-484

„… of the ISDS clause explicitlyagreed to by the Parties.The finalised CETA Draft Text of September 2014 …” „… Article 8.18CETA (Scope)1. Without prejudice to the rights and obligations of the Parties under …” „… Article 8.18CETA. Firstly, it preserves the right of Parties' to the dispute settlement procedureunder …”

Lori Di Pierdomenico Article 8.42 Role of the Parties S. 917-922

„… Disputes (Role of the Parties).Bibliography: Charles-Emmanuel Côté, ‘An Experienced, Developed Democracy …” „… Parties,where it has already been initiated by an investor, since most of the applicable bodiesof arbitral rules …” „… Article 8.42Role of the Parties1. A Party shall not bring an international claim, in respect of a …”

Lars Markert Article 8.25 Consent to the settlement of the dispute by the Tribunal S. 566-583

„… FacilityRules for written consent of the parties;(b) Article II of the New York Convention for an agreement in …” „… ), involvement of non-disputing Parties(Article 8.38), issuance of a final award (Article 8.39) and its …” „… AdditionalFacility Rules regarding written consent of the disputing parties; and,(b) Article II of the New York …”

Richard Happ Article 8.34 Interim measures S. 767-778

„… agreement of the disputing parties.There are some provisions in these rules which do not apply in CETA …” „… enjoys prece-dence over them. It is evident that the Parties are not free, e.g. to deviate from the …” „… Article 47 ICSIDConvention are binding on the Parties, and to align the result under ICSID proceed-ings …”

Crina Baltag Article 8.26 Third party funding S. 584-599

„… amount of recovery by [parties]of theircosts’ incurred in arbitration proceedings.’63E …” „… Kreindler and Aren Goldsmith, ‘Should Parties Disclose the Existence of aThird-Party Funder? (Disclosure and …” „… proceedings, the past five years have seen a growth inthe regulation of TPF. CETA Parties have included, late …”

Marc Bungenberg, Andrés E. Alvarado Garzón Article 8.17 Formal requirements S. 417-433

„… Parties.Request Must Be Reasonable and not unduly BurdensomeAs pointed out in the Drafting History (→ mn. 5-8 …” „… particular, the Contracting Parties must ensure in every case the protection ofinvestor’s confidential or …” „… , inany case, Article 8.17 CETA does not prevent Contracting Parties from obtaining anddisclosing …”

Herman Verbist Article 8.20 Mediation S. 485-519

„… Parties,and after completion of their respective internal requirements and procedures) adoptrules for …” „… Article 8.20Mediation1. The disputing parties may at any time agree to have recourse to mediation.2 …” „… this Chapter and is governed by the rules agreed toby the disputing parties including, if available …”

Christoph Schreuer Article 8.11 Compensation for losses S. 277-296

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1II. Related Treaty Provisions …” „… adopted relating to losses suffered owingto armed conflict or civil strife.II. Related Treaty …” „… treaties:(a) as between States parties to the conflict;(b) as between a State party to the conflict and a …”

Julian Scheu Article 8.31 Applicable law and interpretation S. 704-737

„… the Agreement remains with theContracting Parties.II. Agreement on Applicable Substantive LawArticle …” „… other rules andprinciples of international law applicable between the Parties.’Given that the …” „… principles of international law applicablebetween the Parties.By explicitly limiting the scope of Section F …”

Patrick Dumberry Article 8.10 Treatment of investors and of covered investments S. 256-276

„… adopted by the Parties in accordance with paragraph 3 of this Article.3. The Parties shall regularly, or …” „… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34A. Introduction and OverviewUnder Article 8.10, CETA Parties have the obligation to accord covered …” „… defining specifically what the Parties consider to bethe FET standard. Canada had never before adopted such …”

Johannes Tropper Article 8.6 National treatment S. 194-215

„… Brazil-United States Treaty of Amity, Commerce, and Navigation (1828): ‘The twohigh contracting parties …” „… customs’ authoritiesand the assignment of costs related to the processing of items constitutes ‘treatment …” „… subdi-visions (i.e. states, territories, provinces or regions) of the Parties. These paragraphsaddress the fact …”

Marc Bungenberg, August Reinisch An Overview of the CETA – Investment Chapter (Chapter 8) S. 1-42

„… Parties. Accordingly, CETA Chapter 8 features the following elementsintended to limit the powers of ISDS …” „… and/or corrective interpretativefunction of the Contracting Parties, and the creation of an appellate …” „… the EU MemberStates’ total FDI, the CETA Parties recognised opportunities in increasing bilateral …”

N. Jansen Calamita Article 8.36 Transparency of proceedings S. 787-807

„… themselves);(f) any written submissions filed by third parties or non-disputing parties;(g) transcripts of …” „… ‘in consultationwith the disputing parties’.A further, significant difference between CETA and the …” „… consul-tation with the disputing parties, the appropriate logistical arrangements tofacilitate public access to …”

Patricia Nacimiento Article 8.13 Transfers S. 337-359

„… Jan-uary 2010 and 1 August 2014. These drafts are a useful tool to shed light on the Par-ties …” „… more concise and effective wording of the Parties' obligations. In thiscontext it is worthwhile to note …” „… reflects that from the outset the free transfer provision wouldco-exist with the Parties' other obligations …”

Index S. 979-994

„… 8.20 49– agreement between parties 8.20 56– members of Appellate Tribunal 8.20 56– members of …” „… Tribunal 8.20 56Arbitral award– arbitration agreement 8.41 86– arbitrators selected by the parties 8.41 …” „… tribunal 8.35 4– parallel proceedings 8.24 20 ff.– president 8.30 102 f.– related proceedings, duty to …”

Lori Di Pierdomenico Article 8.15 Reservations and exceptions S. 374-394

„… Parties, and waiversto the TRIPS Agreement adopted pursuant to Article IX of the WTO Agreement.5. Articles …” „… areservation which a Party makes unilaterally, an exception applies for the benefit ofboth Parties.4 There are …” „… Parties may maintain existing non-conforming measures, but may notamend them so as to increase the …”

Marc Bungenberg, August Reinisch Article 8.29 Establishment of a multilateral investment tribunal and appellate mechanism S. 633-653

„… Establishment of a MICThe first sentence of Article 8.29 CETA provides that the CETA Contracting Parties‘shall …” „… depend on the political will of the negotiating Parties.Canada, the EU with its Member States, as well as …” „… Article 8.29Establishment of a multilateral investment tribunal andappellate mechanismThe Parties …”

Frank Hoffmeister, Mattijs Kempynck Article 8.28 Appellate Tribunal S. 610-632

„… salary by a decision of the Joint Commission. Thecosts shall be borne equally by the Parties.IV. The …” „… Members of the Appellate Tribunal;(e) provisions related to the costs of appeals;(f) the number of Members …” „… andAgreements with Third Parties’, in Marc Bungenberg, Markus Krajewski, Christian Tams, Jörg PhilippTerhechte …”

N. Jansen Calamita Article 8.37 Information sharing S. 808-812

„… ). Instead, it traces its origins to the practice of the Parties to theNorth American Free Trade …” „… . The Parties reaffirm that disputing parties may disclose to other persons inconnection with the …” „… Parties further reaffirm that the Governments of Canada, the United MexicanStates and the United States of …”

DECISION No 1/2021 OF THE CETA JOINT COMMITTEE S. 961-964

„… parties so re-quest or where a majority of Members decides that it is desirable. The Presidentof the …” „… referred to in paragraph 10 of this Article shall be paid equally by bothParties into an account managed by …” „… parties on thesame basis as Article 8.39.5 of the Agreement.13. Upon a decision by the CETA Joint …”

Irmgard Marboe Article 8.39 Final award S. 826-855

„… between the Parties.Despite some editorial changes, Article 3.54 of the IPA with Vietnam is very similarto …” „… Secretary-General) shall be borne entirely or in a particular share by one of the parties.Among the broadly applied …” „… exceptional circumstances, the Tribunal may appor-tion costs between the disputing parties if it determines …”

Irmgard Marboe Article 8.40 Indemnification or other compensation S. 856-875

„… Article 8.40 is related to Article 8.14 on ‘Subrogation’. The two Articles address thesituation that an …” „… damages orcompensation, any payment received from other Parties must be disregarded. If theinvestor is …” „… irrespective of any indemnification or other compensationreceived from third Parties. From this amount, the …”

Titelei/Inhaltsverzeichnis

„… 876Role of the Parties ..................................................................Article 8.42 …” „… the panelof arbitrators for space-related disputes at the Permanent Court of Arbitration …” „… bilateral investment treaties and related negotiation strategies. He is theco-chair of the IPBA Investment …”

Markus Burgstaller Article 8.22 Procedural and other requirements for the submission of a claim to the Tribunal S. 534-542

„… notice requesting a determination ofthe respondent;(d) has fulfilled the requirements related to the …” „… arise out of and/or are directly related to the same factualmatrix of the original claim. That is …” „… file multiple subsequentand related actions and would lead to inefficiency and likely inequity.28 Yet …”

Lukas Stifter Article 8.33 Claims unfounded as a matter of law S. 757-766

„… treaty Parties refrained from providing a dedicated fast track procedurefor the Article 8.33 objection …” „… 2.3.a)b)16 In ICSID proceedings, ICSID Rule 41(1) requires the disputing parties to raise preliminary …” „… inception appears to be founded in the US’ experience re-lated to litigation under NAFTA. In Methanex v. USA …”

Arnaud de Nanteuil Article 8.14 Subrogation S. 360-373

„… . ScopeThe first set of questions raised by Article 8.14 of the CETA is related to its scope,both ratione …” „… States, shallbe considered as ‘agencies of the Parties’ within the meaning of Article 8.14. Whatmatters …” „… Party (namely, the States Parties or the EU) or one of their agencies. Thisleads to the exclusion of two …”

Jens Benninghofen Article 8.21 Determination of the respondent for disputes with the European Union or its Member States S. 520-533

„… the EU and its Member States for measures commissioned byEU-Parties against Canadian investors within …” „… omissionscommissioned by other EU-Parties to CETA which would need to be litigated in aseparate claim case.C. Drafting …” „… its Member Statesparticipate as Contracting Parties. They are concluded with subjects of international …”

Ursula Kriebaum Article 8.12 Expropriation S. 297-336

„… . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 143IV. TRIPS-Related Measures …” „… re-quirements of an expropriation. As a reaction, the State Parties to the CETA attemptedto include contours of …” „… the right to regulate of theState Parties to the CETA and to clarify when an indirect expropriation …”

doi.org/10.5771/9783748902133

Michael Friedewald, Alexander Roßnagel, Rahild Neuburger, Felix Bieker, Gerrit Hornung - Daten-Fairness in einer globalisierten Welt

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Michael Friedewald (Hrsg.), Alexander Roßnagel (Hrsg.), Rahild Neuburger (Hrsg.), Felix Bieker (Hrsg.), Gerrit Hornung (Hrsg.)

Daten-Fairness in einer globalisierten Welt

Reihe: Privatheit und Selbstbestimmung in der digitalen Welt | Privacy and Self-Determination in the Digital World

Band 2 2023

Treffer in den folgenden Teilen:

Sebastian J. Kasper, Timo Hoffmann Targeting Reputation – Publication of Compliance as a Regulatory Concept in Comparative Data Protection Law S. 79-106

„… group of purported second parties. The second partiesare customers, suppliers, investors, and other …” „… subjects that are directlydependent on a company.25 Secondly, there is the group of third parties,which …” „… address second parties.Apart from informational obligations that are often required to obtainconsent from …”

doi.org/10.5771/9783748938743

Martin Köckeritz - Resource Interdependence and Organizational Integration

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Martin Köckeritz

Resource Interdependence and Organizational Integration

2019

Treffer in den folgenden Teilen:

3 Resource interdependence and organizational integration: concepts, mechanism and hypotheses S. 91-128

„… parties are not directly related to each other. Accordingly, organizational disintegration has to be …” „… pattern (in)consistency. This refers to the combined effectiveness of the merging parties—their ability to …” „… identifies organizations as a set of parties whose actions are interstructured (Salancik, 1984: 618 …”

5 Case study II: incorporation of the HWP into the University of Hamburg S. 178-215

„… parties, it is hence an example of faculty centralization of (research-related) budget control—a …” „… follows. After a compact introduction of the three merging parties and a synopsis of the pre-merger stage …” „… to two education-related regulations: a common dissertation statute and the exchange of teaching …”

4 Case study I: the merger of the Universities of Duisburg and Essen S. 129-177

„… that structural data on the merging parties’ subunits can be reduced to education-related and …” „… qualitative pattern aspect has to be made tangible: how do the interdependence patterns of the merging parties …” „… merger of the Universities of Duisburg and Essen in 2003. With both parties exceeding 15,000 students, in …”

1 Overture, state of affairs, basic approach and study design S. 14-61

„… cooperation and / or conflicts between parties to be expected? What drivers have to be accounted for in this …” „… centralized ownership, two other aspects are thus introduced: a technical (often called “task-related”) and a …” „… domination of one of the parties in empirical settings (see Singh, 1971; Humpal, 1971; Mangham, 1973 …”

Titelei/Inhaltsverzeichnis S. 1-13

„… State of affairs: scientific debates on M&A1.2 31 Business-related M&A research1.2.1 31 Success factor …” „… education2.1.4 73 RDT in the field of organization theory2.2 78 RDT precursors and related approaches2.2.1 …” „… the three merging parties5.1.1 179 Pre-merger period and political subunit positioning5.1.2 183 …”

6 Material manifestations of mergers in higher education: conclusion and competing explanations S. 216-244

„… characterized by having an extreme impact on the interior life of the merging parties. The development of M&A …” „… integration as a variable in its own right ensues. Business-related success factor research was identified as …” „… were identified: firstly, some of their subsystems are sometimes functionally related to each other …”

2 Theoretical framework: introduction, positioning and assessment of resource dependence theory S. 62-90

„… Control of Organizations (Pfeffer & Salancik, 1978), while subsequently focusing on its merger-related …” „… was therefore claimed to be the main source of resource-related contingencies and constraints. The …” „… survival of such open system depends on their capacity to “maintain a coalition of parties who contribute …”

doi.org/10.5771/9783845298047

Christian Klausegger, Peter Klein, Florian Kremslehner, Alexander Petsche, Nikolaus Pitkowitz, Irene Welser, Gerold Zeiler - Austrian Yearbook on International Arbitration 2023

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Christian Klausegger (Hrsg.), Peter Klein (Hrsg.), Florian Kremslehner (Hrsg.), Alexander Petsche (Hrsg.), Nikolaus Pitkowitz (Hrsg.), Irene Welser (Hrsg.), Gerold Zeiler (Hrsg.)

Austrian Yearbook on International Arbitration 2023

2023

Treffer in den folgenden Teilen:

Chapter II: The Arbitrator and the Arbitration Procedure S. 83-240

„… arbitration culture.III. Institutional Rules and the Arbitral Tribunal‘s Obligations to Assist the PartiesThe …” „… the parties’ interests rather than their positions, a mediation typically produces a solution that is …” „… readily accepted and supported by all parties, thus leading to a lasting agreement and (maintaining) a …”

Chapter V: Developments on the Austrian Market S. 369-400

„… ), and the related question of its impact on arbitration proceedings with sanc- tioned parties became …” „… approximately € 370 million. B. PartiesThe statistics once more confirm VIAC’s standing as an institution with a …” „… , including the involvement of sovereign parties and the implication of issues of public interest and public …”

Chapter IV: Investment Arbitration S. 293-368

„… ultimate consequence of such a finding should be for the parties.The Tribunal examined whether the payments …” „… require the parties to respond. This welcome move towards transparency has a particular resonance in the …” „… that has in turn been deployed by parties to international arbitrations. Notable examples are, first …”

Titelei/Inhaltsverzeichnis

„… procedural and substantive issues that may arise in related arbi-trations, including the World Café Report on …” „… arbitration (Alfred Siwy). Other contributions deal with joinder of third parties (Philipp Schwarz), early …” „… . The Expectations of Parties When Opting for Arbitration . . . . . . . . . . 97 II. First Step …”

Chapter I: The Arbitration Agreement and Arbitrability S. 1-82

„… issue of whether the parties are the same or not, whether the contracts are related to each other, and …” „… sufficient certainty which parties must be involved or can be involved in the related arbitrations, and if so …” „… ) such as: 1) Who is party to the arbitration agreement; and 2) The related issue of non-signatories to …”

Index S. 409-412

„… arbitration 328 et seqq.ESG-Related Claims Brought by Shareholders 236 et seq.ESG-Related Claims in …” „… et seq.NNational Laws vs Investment Arbitration 235 et seqq.Non-Participating Parties 180Index411 …” „… seqq.Regulation of Third-Party Funding 131 et seqq.Related Contracts 177 et seqq.Relevant Circumstances 174 et …”

Chapter III: The Award and the Courts S. 241-292

„… , unless the parties agree otherwise, is an established principle in arbitration, and a severe lack of …” „… Law expressly requires the arbitral award to state reasons, unless other-wise agreed by the parties.2 …” „… heard (Article 6, paragraph 1 ECHR).4) Parties have a right to know whether their arguments have been …”

doi.org/10.5771/9783214253226

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